Personnel SFC Licences and HKMA Registrations (ID 41915)

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
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2017-10-19	-
	RO	Dealing in securities	2017-10-19	-
	Rep	Advising on corporate finance	2017-07-31	2017-10-30
	Rep	Dealing in securities	2017-07-31	2017-10-30
ORIENT CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2016-08-18	2017-06-01
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2016-08-18	2017-06-01
	RO	Dealing in securities	2016-08-18	2017-06-01
ORIENT CAPITAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2016-07-06	2016-08-18
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2016-07-06	2016-08-18
	Rep	Dealing in securities	2016-07-06	2016-08-18
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2009-03-03	2016-05-24
	RO	Advising on securities	2009-03-03	2016-05-24
	RO	Dealing in securities	2009-03-03	2016-05-24
	Rep	Advising on corporate finance	2009-01-07	2009-03-03
	Rep	Advising on securities	2009-01-07	2009-03-03
	Rep	Dealing in securities	2009-01-07	2009-03-03
DBS ASIA CAPITAL LIMITED	RO	Asset management	2003-04-01	2005-01-28
	RO	Advising on corporate finance	2003-04-01	2008-11-14
	RO	Advising on securities	2003-04-01	2008-11-14
	RO	Dealing in securities	2003-04-01	2008-11-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.