Personnel Hong Kong SFC License Details (ID 118378)

Personnel Hong Kong SFC License Details (ID 118378)

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
Soochow Securities International Capital Limited	RO	Advising on corporate finance	2022-05-03	2023-06-27
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2022-01-12	2023-06-27
Soochow Securities International Capital Limited	Rep	Advising on corporate finance	2022-01-12	2022-05-03
Mason Global Capital Limited	RO	Advising on corporate finance	2021-06-10	2021-12-08
	Rep	Advising on corporate finance	2021-05-20	2021-06-10
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2018-11-14	2021-01-29
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-11-14	2021-01-29
	Rep	Dealing in securities	2018-11-14	2021-01-29
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2015-05-29	2018-10-16
	Rep	Advising on securities	2015-05-29	2018-10-16
	Rep	Dealing in securities	2015-05-29	2018-10-16
CGS International Securities Hong Kong Limited	Rep	Advising on corporate finance	2013-05-28	2015-02-26
	Rep	Dealing in securities	2013-05-28	2015-02-26
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2008-10-08	2010-05-22
	Rep	Dealing in securities	2008-10-08	2010-05-22
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2006-04-24	2008-06-19
	Rep	Dealing in securities	2006-04-24	2008-06-19