Personnel Hong Kong SFC License Details (ID 1929682)

Personnel Hong Kong SFC License Details (ID 1929682)

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
DCL Capital (Hong Kong) Limited	Rep	Advising on securities	2026-09-07	-
	Rep	Asset management	2026-09-07	-
CSII Capital Limited	RO	Advising on securities	2023-03-08	2026-07-20
	RO	Asset management	2023-03-08	2026-07-20
China Vered Securities Limited	RO	Advising on securities	2021-09-13	2023-02-01
	RO	Dealing in securities	2021-09-13	2023-02-01
China Vered Asset Management (Hong Kong) Limited	Rep	Asset management	2018-03-20	2023-02-01
China Vered Securities Limited	Rep	Advising on securities	2018-03-20	2021-09-13
	Rep	Dealing in securities	2018-03-13	2021-09-13
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-08	2017-10-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2012-07-24	2012-09-13