Personnel Hong Kong SFC License Details (ID 2140187)

Personnel Hong Kong SFC License Details (ID 2140187)

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 Asset Management (Hong Kong) Co., Limited	Rep	Asset management	2018-08-06	2022-10-07
	Rep	Advising on securities	2018-07-11	2022-10-07
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2016-01-22	2018-04-02
IMPERIAL CAPITAL LIMITED (HK)	Rep	Asset management	2015-03-03	2016-01-08
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2013-10-02	2014-08-21
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2013-10-02	2014-08-21