Personnel Hong Kong SFC License Details (ID 102576)

Personnel Hong Kong SFC License Details (ID 102576)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
South West Capital Limited (d2013-12-11)	RO	Advising on corporate finance	2012-05-10	2013-01-28
Octal Capital Limited	RO	Advising on corporate finance	2011-11-09	2012-04-16
ROTHSCHILD &AMP; CO HONG KONG LIMITED	RO	Advising on securities	2008-11-14	2011-05-28
	RO	Advising on corporate finance	2008-08-14	2011-05-28
	Rep	Advising on corporate finance	2007-03-30	2008-08-14
	Rep	Advising on securities	2007-03-30	2008-11-14
PIPER JAFFRAY ASIA LIMITED	RO	Advising on corporate finance	2004-08-24	2006-01-01
	Rep	Advising on corporate finance	2004-07-15	2004-08-24
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	RO	Advising on corporate finance	-	2004-07-06