Personnel Hong Kong SFC License Details (ID 2453525)

Personnel Hong Kong SFC License Details (ID 2453525)

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	RO	Advising on corporate finance	2026-04-29	-
	Rep	Advising on corporate finance	2025-09-25	2026-04-29
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2025-09-25	-
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2024-11-27	2025-07-26
	Rep	Advising on corporate finance	2020-06-24	2023-06-24
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2018-06-05	2020-05-10
	Rep	Dealing in securities	2018-06-05	2020-05-10
KGI CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2016-05-26	2018-05-20
	Rep	Dealing in securities	2016-05-26	2018-05-20
RHB CAPITAL HONG KONG LIMITED	Rep	Advising on corporate finance	2016-03-21	2016-05-15
	Rep	Dealing in securities	2016-03-21	2016-05-15
ALTUS CAPITAL LIMITED	Rep	Advising on corporate finance	2015-07-24	2016-03-12
ALTUS INVESTMENTS LIMITED (HK)	Rep	Dealing in securities	2015-07-24	2016-03-12