Personnel Hong Kong SFC License Details (ID 2257125)

Personnel Hong Kong SFC License Details (ID 2257125)

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	RO	Advising on corporate finance	2026-05-29	-
	Rep	Dealing in securities	2026-05-29	-
ABCI CAPITAL LIMITED	Rep	Dealing in securities	2024-12-11	2026-03-11
	RO	Dealing in securities	2024-06-11	2024-12-11
	RO	Advising on corporate finance	2024-06-11	2026-03-11
	Rep	Advising on corporate finance	2024-01-10	2024-06-11
	Rep	Dealing in securities	2024-01-10	2024-06-11
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2021-12-29	2022-08-31
	Rep	Advising on corporate finance	2021-11-03	2021-12-29
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2021-11-03	2022-08-31
ORIENT CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2019-01-31	2021-09-09
	Rep	Advising on corporate finance	2017-11-22	2019-01-31
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2017-11-22	2021-09-09
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2016-03-11	2017-09-21
	Rep	Advising on securities	2016-03-11	2017-09-21
	Rep	Dealing in securities	2016-03-11	2017-09-21
Goldin Financial Limited	Rep	Advising on corporate finance	2015-03-23	2016-02-26
JW CAPITAL SECURITIES LIMITED	Rep	Advising on corporate finance	2014-04-09	2015-02-23