Personnel Hong Kong SFC License Details (ID 1969533)

Personnel Hong Kong SFC License Details (ID 1969533)

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
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2022-06-06	-
	Rep	Dealing in securities	2022-01-19	-
	Rep	Advising on corporate finance	2022-01-19	2022-06-06
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2021-10-28	2021-12-03
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2021-10-27	2021-12-03
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2021-09-23	2021-10-28
Lego Corporate Finance Limited	RO	Advising on corporate finance	2018-11-21	2021-09-20
	Rep	Advising on corporate finance	2016-01-22	2018-11-21
QUAM CAPITAL LIMITED	Rep	Advising on corporate finance	2012-10-22	2015-12-31