Personnel Hong Kong SFC License Details (ID 12690341)

Personnel Hong Kong SFC License Details (ID 12690341)

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
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2025-12-08	-
	Rep	Advising on securities	2025-12-08	-
	Rep	Dealing in securities	2025-12-08	-
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2025-08-18	2025-09-02
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2025-08-18	2025-09-02
	Rep	Dealing in securities	2025-08-18	2025-09-02
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in securities	2021-07-02	2023-12-03
	Rep	Advising on corporate finance	2021-06-11	2023-12-03
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2018-01-18	2021-05-07