Personnel Hong Kong SFC License Details (ID 1894233)

Personnel Hong Kong SFC License Details (ID 1894233)

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
Arta Corporate Advisory Limited	RO	Advising on corporate finance	2025-02-27	2026-04-30
Arta Asset Management Limited	Rep	Advising on securities	2025-02-11	2026-04-30
	Rep	Dealing in securities	2025-02-11	2026-04-30
Arta Corporate Advisory Limited	Rep	Advising on corporate finance	2025-02-11	2025-02-27
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2022-06-07	2024-07-05
	RO	Advising on securities	2022-06-07	2024-07-05
	RO	Dealing in securities	2022-06-07	2024-07-05
	Rep	Advising on corporate finance	2022-05-18	2022-06-07
	Rep	Advising on securities	2022-05-18	2022-06-07
	Rep	Dealing in securities	2022-05-18	2022-06-07
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2021-10-25	2022-05-13
	RO	Advising on securities	2021-10-25	2022-05-13
	RO	Dealing in securities	2021-10-25	2022-05-13
	Rep	Advising on securities	2014-05-23	2021-10-25
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2014-01-14	2015-05-12
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2013-12-19	2021-10-25
	Rep	Dealing in securities	2013-12-19	2021-10-25
WELKIN LINKS ASSET MANAGEMENT LIMITED	Rep	Advising on corporate finance	2012-05-14	2013-12-08