Personnel Hong Kong SFC License Details (ID 2477128)

Personnel Hong Kong SFC License Details (ID 2477128)

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 FUTURES LIMITED	Rep	Dealing in futures contracts	2021-07-23	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2021-07-15	-
	Rep	Dealing in securities	2021-07-15	-
CNCB (Hong Kong) Capital Limited	Rep	Advising on corporate finance	2018-03-06	2021-06-23
	Rep	Advising on securities	2018-03-06	2021-06-23
	Rep	Dealing in securities	2018-03-06	2021-06-23
YUE XIU SECURITIES COMPANY LIMITED	Rep	Advising on securities	2016-10-28	2018-02-15
	Rep	Dealing in securities	2016-10-28	2018-02-15
SHENG YUAN SECURITIES LIMITED	Rep	Advising on securities	2015-09-18	2016-09-24
	Rep	Dealing in securities	2015-09-18	2016-09-24