Personnel Hong Kong SFC License Details (ID 48938)

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
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2026-05-06	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2026-05-06	-
CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2023-03-20	2026-04-18
	RO	Dealing in securities	2023-03-20	2026-04-18
	Rep	Advising on corporate finance	2023-03-10	2023-03-20
	Rep	Dealing in securities	2023-03-10	2023-03-20
Optima Capital Limited	RO	Advising on corporate finance	2022-04-04	2023-02-01
	RO	Advising on securities	2022-04-04	2023-02-01
	RO	Dealing in securities	2022-04-04	2023-02-01
	Rep	Advising on corporate finance	2022-03-18	2022-04-04
	Rep	Advising on securities	2022-03-18	2022-04-04
	Rep	Dealing in securities	2022-03-18	2022-04-04
CEB International Capital Corporation Limited	RO	Advising on corporate finance	2015-12-22	2021-09-07
	RO	Advising on securities	2015-12-22	2021-09-07
	RO	Dealing in securities	2015-12-22	2021-09-07
GF Capital (Hong Kong) Limited	RO	Advising on corporate finance	2014-05-09	2015-06-30
GF Securities (Hong Kong) Brokerage Limited	RO	Dealing in securities	2014-05-09	2015-06-30
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2014-03-31	2014-05-09
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2014-03-31	2014-05-09
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2012-03-21	2013-10-18
	RO	Dealing in securities	2012-03-21	2013-10-18
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-03-21	2013-10-18
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2012-01-03	2012-03-21
	Rep	Dealing in securities	2012-01-03	2012-03-21
Shang International Finance Limited	RO	Advising on corporate finance	2007-10-09	2011-12-19
	RO	Advising on securities	2007-10-09	2011-12-19
	RO	Dealing in securities	2007-10-09	2011-12-19
	Rep	Asset management	2003-04-01	2004-09-17
	Rep	Advising on corporate finance	2003-04-01	2007-10-09
	Rep	Advising on securities	2003-04-01	2007-10-09
	Rep	Dealing in securities	2003-04-01	2007-10-09