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GUO Zhen

郭真
CE BNZ011Licensed IndividualSFO licence active
Official SFC record

GUO Zhen (CE number BNZ011) is an individual licensed by the Hong Kong SFC. First licensed on 2018-12-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management), Type 10 (Credit rating).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCCB Principal Asset Management (Hong Kong) Co., Limited
建信資產管理(香港)有限公司

Licence Record (3)

2025-03-03 – present Current
CCB Principal Asset Management (Hong Kong) Co., Limited Rep
RA 4 RA 9
2021-06-02 – 2025-01-27
Moody's Investors Service Hong Kong Limited Rep
RA 10
2018-12-31 – 2021-03-26
SMBC Nikko Securities (Hong Kong) Limited Rep
RA 1 RA 4

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/BNZ011