Personnel SFC Licences and HKMA Registrations (ID 106854)

Key Data Licences & registrations 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
ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED	RO	Advising on corporate finance	2025-10-30	-
ORIENTAL PATRON ASIA LIMITED	Rep	Advising on corporate finance	2024-11-11	2024-12-31
Pulun International Capital Limited	RO	Dealing in securities	2015-09-16	2021-03-03
	RO	Advising on corporate finance	2015-09-16	2024-04-25
FORTUNE (HK) SECURITIES LIMITED	RO	Dealing in securities	2012-02-15	2015-07-07
FORTUNE FINANCIAL CAPITAL LIMITED	RO	Advising on corporate finance	2012-02-15	2015-07-07
FORTUNE (HK) SECURITIES LIMITED	Rep	Dealing in securities	2012-01-11	2012-02-15
FORTUNE FINANCIAL CAPITAL LIMITED	Rep	Advising on corporate finance	2012-01-11	2012-02-15
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2011-06-07	2011-08-11
	RO	Dealing in securities	2011-06-07	2011-08-11
	Rep	Advising on corporate finance	2011-04-26	2011-06-07
	Rep	Dealing in securities	2011-04-26	2011-06-07
KINGSTON CORPORATE FINANCE LIMITED	RO	Advising on corporate finance	2009-06-25	2011-04-16
KINGSTON SECURITIES LIMITED	RO	Dealing in securities	2009-06-25	2011-04-16
KINGSTON CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2009-05-04	2009-06-25
KINGSTON SECURITIES LIMITED	Rep	Dealing in securities	2009-05-04	2009-06-25
CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2007-05-17	2009-04-13
	RO	Dealing in securities	2007-05-17	2009-04-13
SBI E2-CAPITAL PARTNERS LIMITED	RO	Dealing in securities	2007-05-17	2007-12-06
	RO	Advising on corporate finance	2007-05-17	2008-09-01
CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2007-02-28	2007-05-17
	Rep	Dealing in securities	2007-02-28	2007-05-17
SBI E2-CAPITAL PARTNERS LIMITED	Rep	Advising on corporate finance	2007-02-28	2007-05-17
	Rep	Dealing in securities	2007-02-28	2007-05-17
ORIENTAL PATRON ASIA LIMITED	Rep	Advising on securities	2003-04-01	2004-05-24
	Rep	Asset management	2003-04-01	2004-05-24
	Rep	Advising on corporate finance	2003-04-01	2005-10-15

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.