Personnel Hong Kong SFC License Details (ID 2341172)

Personnel Hong Kong SFC License Details (ID 2341172)

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
TFI Capital Limited	RO	Advising on corporate finance	2026-09-04	-
TFI Securities and Futures Limited	RO	Dealing in securities	2026-09-04	-
TFI Capital Limited	Rep	Advising on corporate finance	2026-06-04	2026-09-04
TFI Securities and Futures Limited	Rep	Dealing in securities	2026-06-04	2026-09-04
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2025-03-26	2025-07-01
	RO	Dealing in securities	2025-03-26	2025-07-01
	Rep	Advising on corporate finance	2021-08-31	2025-03-26
	Rep	Dealing in securities	2021-08-31	2025-03-26
CMB International Capital Limited	Rep	Advising on corporate finance	2020-10-29	2021-07-20
	Rep	Dealing in securities	2020-10-29	2021-07-20
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2018-07-10	2020-08-06
	Rep	Advising on corporate finance	2018-06-14	2020-08-06
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2014-11-04	2018-03-19