Personnel Hong Kong SFC License Details (ID 12051557)

Personnel Hong Kong SFC License Details (ID 12051557)

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
SPDB International Capital Limited	Rep	Advising on corporate finance	2021-09-02	-
	Rep	Dealing in securities	2021-09-02	-
SPDB International Securities Limited	Rep	Dealing in securities	2021-09-02	-
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2019-02-12	2021-08-08
Soochow Securities International Capital Limited	Rep	Advising on corporate finance	2019-02-12	2021-08-08
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2017-09-13	2019-01-24
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2017-09-13	2019-01-24
	Rep	Dealing in securities	2017-09-13	2019-01-24