Personnel Hong Kong SFC License Details (ID 135063)

Personnel Hong Kong SFC License Details (ID 135063)

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
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	Rep	Advising on securities	2023-05-25	2024-08-09
	Rep	Dealing in securities	2023-05-25	2024-08-09
oOo Securities (HK) Group Limited	Rep	Advising on corporate finance	2018-08-15	2023-03-31
	Rep	Advising on securities	2018-08-15	2023-03-31
	Rep	Dealing in securities	2018-08-15	2023-03-31
	RO	Advising on corporate finance	2018-02-14	2018-08-15
	RO	Advising on securities	2018-02-14	2018-08-15
	RO	Dealing in securities	2018-02-14	2018-08-15
	Rep	Advising on corporate finance	2017-12-13	2018-02-14
	Rep	Advising on securities	2017-12-13	2018-02-14
	Rep	Dealing in securities	2017-12-13	2018-02-14
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2016-11-08	2017-11-07
ABCI CAPITAL LIMITED	Rep	Advising on corporate finance	2011-12-16	2016-10-01
	Rep	Dealing in securities	2011-12-16	2016-10-01