Personnel Hong Kong SFC License Details (ID 1942947)

Personnel Hong Kong SFC License Details (ID 1942947)

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
XCap Partners Limited	Rep	Advising on corporate finance	2024-04-03	2026-05-22
	Rep	Advising on securities	2024-04-03	2026-05-22
	Rep	Dealing in securities	2024-04-03	2026-05-22
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2018-04-03	2022-07-15
	Rep	Advising on securities	2018-04-03	2022-07-15
	Rep	Dealing in securities	2018-04-03	2022-07-15
China Renaissance Securities (Hong Kong) Limited	RO	Advising on corporate finance	2016-12-22	2018-01-15
	Rep	Advising on corporate finance	2016-07-12	2016-12-22
	Rep	Dealing in securities	2016-07-12	2018-01-15
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2012-08-22	2016-03-29
	Rep	Dealing in securities	2012-08-22	2016-03-29