Personnel Hong Kong SFC License Details (ID 1968829)

Personnel Hong Kong SFC License Details (ID 1968829)

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
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2017-10-20	2019-01-11
	Rep	Dealing in securities	2017-10-20	2019-01-11
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2016-02-22	2017-04-26
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on securities	2015-08-13	2016-02-04
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2014-04-22	2015-07-27
	Rep	Dealing in securities	2014-04-22	2015-07-27
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2014-02-17	2014-03-31
MIB SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2013-08-13	2013-11-08
ORIENTAL PATRON SECURITIES LIMITED	Rep	Advising on securities	2012-10-19	2013-08-01