Personnel Hong Kong SFC License Details (ID 121463)

Personnel Hong Kong SFC License Details (ID 121463)

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
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Dealing in securities	2022-08-23	-
	Rep	Dealing in securities	2022-04-27	2022-08-23
	RO	Advising on corporate finance	2021-06-02	-
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2021-03-02	2022-01-13
	Rep	Dealing in securities	2021-03-02	2022-04-27
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Dealing in securities	2019-09-24	2021-03-02
	Rep	Advising on corporate finance	2019-09-24	2021-06-02
FORTUNE (HK) SECURITIES LIMITED	Rep	Dealing in securities	2018-10-16	2019-07-31
FORTUNE FINANCIAL CAPITAL LIMITED	Rep	Advising on corporate finance	2018-10-16	2019-07-31
ORIENT CAPITAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2016-01-29	2018-09-19
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2016-01-29	2018-09-19
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2007-05-14	2009-01-17