Personnel Hong Kong SFC License Details (ID 2521668)

Personnel Hong Kong SFC License Details (ID 2521668)

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
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2023-03-23	-
	Rep	Advising on securities	2023-03-23	-
	Rep	Dealing in securities	2023-03-23	-
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2023-03-23	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2021-09-30	2022-11-18
	Rep	Advising on corporate finance	2021-09-10	2022-11-18
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2017-10-12	2021-09-02
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2016-03-21	2017-08-24
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2016-01-04	2016-02-19
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Dealing in securities	2016-01-04	2017-08-24