Personnel Hong Kong SFC License Details (ID 2137814)

Personnel Hong Kong SFC License Details (ID 2137814)

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 Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on corporate finance	2026-05-14	-
	RO	Dealing in securities	2026-05-14	-
	Rep	Advising on corporate finance	2026-01-26	2026-05-14
	Rep	Dealing in securities	2026-01-26	2026-05-14
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2022-09-16	2025-12-31
	RO	Dealing in securities	2022-09-16	2025-12-31
	Rep	Advising on corporate finance	2022-03-31	2022-09-16
	Rep	Dealing in securities	2022-03-31	2022-09-16
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-02-02	2022-03-18
	Rep	Advising on securities	2017-02-02	2022-03-18
	Rep	Dealing in securities	2017-02-02	2022-03-18
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2013-09-26	2017-01-22