Personnel Hong Kong SFC License Details (ID 12134)

Personnel Hong Kong SFC License Details (ID 12134)

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
Capital 9 Limited	RO	Advising on corporate finance	2021-07-13	2024-11-27
	Rep	Advising on corporate finance	2021-06-17	2021-07-13
CONVOY CAPITAL HONG KONG LIMITED	RO	Dealing in securities	2015-09-15	2018-01-05
	RO	Advising on corporate finance	2015-04-14	2018-01-05
	Rep	Advising on corporate finance	2015-02-27	2015-04-14
KINGSWAY SW ASSET MANAGEMENT LIMITED (VG)	RO	Advising on corporate finance	2009-05-27	2011-09-30
KINGSWAY CAPITAL LIMITED	RO	Dealing in securities	2008-08-14	2015-01-24
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Dealing in securities	2007-11-19	2015-01-24
	Rep	Dealing in securities	2007-05-03	2007-11-19
KINGSWAY CAPITAL LIMITED	RO	Advising on corporate finance	2007-03-07	2015-01-24
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Advising on corporate finance	2007-03-07	2011-06-30
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2007-02-09	2007-03-07
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2007-02-09	2007-03-07
FIRST SHANGHAI CAPITAL LIMITED	RO	Advising on corporate finance	-	2007-01-31