Personnel Hong Kong SFC License Details (ID 2278178)

Personnel Hong Kong SFC License Details (ID 2278178)

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 INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2026-07-28	-
	RO	Dealing in securities	2026-07-28	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2026-05-13	2026-05-21
	Rep	Advising on securities	2026-05-13	2026-05-21
	Rep	Dealing in securities	2026-05-13	2026-05-21
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2025-05-23	2026-03-13
ORIENT CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2020-04-29	2023-11-06
	Rep	Advising on corporate finance	2020-02-24	2020-04-29
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2020-02-24	2023-11-06
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2018-06-14	2020-01-31
	Rep	Advising on corporate finance	2017-06-27	2018-06-14
	Rep	Advising on securities	2017-06-27	2020-01-31
	Rep	Dealing in securities	2017-06-27	2020-01-31
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2014-06-06	2017-05-26