Personnel Hong Kong SFC License Details (ID 1966236)

Personnel Hong Kong SFC License Details (ID 1966236)

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
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2022-02-23	2022-07-08
	Rep	Dealing in securities	2022-02-23	2022-07-08
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2021-03-23	2021-10-15
	Rep	Advising on corporate finance	2017-12-27	2021-03-23
	Rep	Dealing in securities	2017-12-27	2021-10-15
Optima Capital Limited	Rep	Advising on corporate finance	2014-04-23	2017-11-24
	Rep	Dealing in securities	2014-04-23	2017-11-24
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2012-10-15	2014-04-03
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2012-10-15	2014-04-03