Personnel SFC Licences and HKMA Registrations (ID 2378455)

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 Harbour International Securities Limited	Rep	Dealing in securities	2025-02-07	-
China Harbour International Capital Limited	RO	Advising on corporate finance	2024-02-05	-
HONG KONG INTERNATIONAL CAPITAL MANAGEMENT LIMITED	RO	Advising on corporate finance	2020-07-13	2022-01-30
	Rep	Advising on corporate finance	2019-12-09	2020-07-13
PROSPER VOYAGE CAPITAL LIMITED	Rep	Advising on corporate finance	2016-10-28	2019-07-16
Arta Corporate Advisory Limited	Rep	Advising on corporate finance	2015-10-02	2016-10-21
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2015-10-02	2016-10-21
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2015-01-30	2015-08-14
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2015-01-30	2015-08-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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