Personnel Hong Kong SFC License Details (ID 2269044)

Personnel Hong Kong SFC License Details (ID 2269044)

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
ORIENT CAPITAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2025-10-15	-
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2025-10-15	-
	Rep	Dealing in securities	2025-10-15	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2025-02-20	2025-08-08
	Rep	Advising on corporate finance	2025-02-17	2025-08-08
	Rep	Dealing in securities	2025-02-17	2025-08-08
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2021-07-22	2024-11-08
	Rep	Dealing in securities	2021-07-22	2024-11-08
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2016-01-21	2021-06-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-01-21	2021-06-04
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2015-05-08	2015-12-25
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2014-05-15	2015-02-13
	Rep	Advising on securities	2014-05-15	2015-02-13
	Rep	Dealing in securities	2014-05-15	2015-02-13