Personnel Hong Kong SFC License Details (ID 38232)

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
J & Partners Capital Limited	RO	Advising on corporate finance	2023-10-27	2026-09-15
VMS Securities Limited	RO	Advising on corporate finance	2021-05-17	2022-04-02
	RO	Dealing in securities	2021-05-17	2022-04-02
	Rep	Advising on corporate finance	2021-03-04	2021-05-17
	Rep	Dealing in securities	2021-03-04	2021-05-17
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2017-08-01	2021-01-22
	RO	Dealing in securities	2017-08-01	2021-01-22
	Rep	Advising on corporate finance	2017-02-16	2017-08-01
	Rep	Dealing in securities	2017-02-16	2017-08-01
CEB International Capital Corporation Limited	Rep	Advising on corporate finance	2016-03-30	2017-02-02
	Rep	Advising on securities	2016-03-30	2017-02-02
	Rep	Dealing in securities	2016-03-30	2017-02-02
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Dealing in securities	2015-05-28	2016-03-15
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Dealing in securities	2015-05-28	2016-03-15
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2015-03-31	2015-05-28
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Dealing in securities	2015-03-31	2015-05-28
	Rep	Advising on corporate finance	2015-03-31	2016-03-15
CINDA INTERNATIONAL CAPITAL LIMITED	RO	Dealing in securities	2011-06-28	2015-03-17
	Rep	Dealing in securities	2011-05-16	2011-06-28
	Rep	Advising on corporate finance	2011-05-16	2015-03-17
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2011-05-16	2015-03-17
CMB International Capital Limited	Rep	Advising on corporate finance	2010-09-22	2011-05-05
	RO	Dealing in securities	2010-09-07	2011-05-05
CMB International Capital Holdings Corporation Limited	RO	Dealing in securities	2010-05-07	2011-05-05
	Rep	Dealing in securities	2010-04-01	2010-05-07
	Rep	Advising on corporate finance	2010-04-01	2010-09-21
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	RO	Dealing in securities	2010-03-09	2010-03-16
	Rep	Dealing in securities	2010-02-03	2010-03-09
MEGA CAPITAL (ASIA) COMPANY LIMITED	RO	Dealing in securities	2007-01-22	2010-01-16
	Rep	Dealing in securities	2006-10-27	2007-01-22
KGI ASIA LIMITED	RO	Dealing in securities	2006-07-04	2006-10-05
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2006-07-04	2006-10-05
	Rep	Dealing in securities	2006-04-25	2006-07-04
KGI ASIA LIMITED	Rep	Dealing in securities	2005-11-21	2006-07-04
TIS SECURITIES (HK) LIMITED	RO	Dealing in securities	2005-05-18	2005-09-30
	Rep	Dealing in securities	2005-02-25	2005-05-18
	Rep	Advising on corporate finance	2005-02-25	2005-09-30
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on corporate finance	2004-05-05	2005-01-21
	Rep	Advising on securities	2004-05-05	2005-01-21
	Rep	Dealing in securities	2004-02-10	2005-01-21
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-23
	Rep	Advising on securities	2003-04-01	2003-12-23
	Rep	Asset management	2003-04-01	2003-12-23
	Rep	Providing automated trading services	2003-04-01	2003-12-23
	Rep	Dealing in securities	2003-04-01	2003-12-23