Personnel Hong Kong SFC License Details (ID 2454127)

Personnel Hong Kong SFC License Details (ID 2454127)

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
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2026-08-04	-
	Rep	Advising on securities	2026-08-04	-
CLSA LIMITED	Rep	Dealing in securities	2026-08-04	-
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2022-01-12	2026-07-03
	Rep	Advising on securities	2022-01-12	2026-07-03
	Rep	Dealing in securities	2022-01-12	2026-07-03
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2022-01-12	2026-07-03
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2021-09-24	2021-11-29
	Rep	Dealing in securities	2021-09-24	2021-11-29
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2021-09-24	2021-11-29
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2018-07-26	2021-09-05
	Rep	Dealing in securities	2018-07-26	2021-09-05
Alpha Financial Group Limited	Rep	Dealing in securities	2016-06-07	2018-07-14
AMPLE CAPITAL LIMITED	Rep	Advising on corporate finance	2016-06-07	2018-07-14
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2015-07-27	2016-05-23
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2015-07-27	2016-05-23