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ZHU Yuan

朱芫
CE BPG310Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

ZHU Yuan (CE number BPG310) is an individual licensed by the Hong Kong SFC. First licensed on 2019-12-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCITIC Securities Brokerage (HK) Limited
中信証券經紀(香港)有限公司
Responsible OfficerCITIC Securities Futures (HK) Limited
中信証券期貨(香港)有限公司

Licence Record (4)

2023-11-22 – present Current
CITIC Securities Futures (HK) Limited RO
RA 2
2020-10-20 – present Current
CITIC Securities Brokerage (HK) Limited RO
RA 1 RA 4
2019-12-30 – 2020-10-20
CITIC Securities Brokerage (HK) Limited Rep
RA 1 RA 4
2019-12-30 – 2022-05-31
CITIC Securities Futures (HK) Limited Rep
RA 2

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/BPG310