Personnel Hong Kong SFC License Details (ID 1929683)

Personnel Hong Kong SFC License Details (ID 1929683)

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
WEST BULL SECURITIES LIMITED	RO	Advising on securities	2021-12-13	-
	RO	Dealing in securities	2021-12-13	-
	Rep	Advising on securities	2021-11-10	2021-12-13
	Rep	Dealing in securities	2021-11-10	2021-12-13
SBI China Capital Financial Services Limited	RO	Advising on securities	2020-11-26	2021-05-10
SBI China Capital Hong Kong Securities Limited	Rep	Advising on corporate finance	2019-11-19	2021-05-10
SBI China Capital Financial Services Limited	Rep	Advising on securities	2018-12-11	2020-11-26
	RO	Dealing in securities	2018-04-11	2021-05-10
	Rep	Dealing in securities	2017-08-31	2018-04-11
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Dealing in securities	2016-11-22	2017-05-31
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Dealing in securities	2016-11-22	2017-05-31
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2016-05-30	2016-11-22
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Dealing in securities	2016-05-30	2016-11-22
	Rep	Advising on corporate finance	2016-05-30	2017-05-31
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2014-12-31	2016-03-29
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2014-07-18	2014-12-13
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2012-07-24	2014-06-14