Personnel SFC Licences and HKMA Registrations (ID 49442)

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
DONVEX CAPITAL LIMITED	RO	Advising on corporate finance	2013-01-17	-
	Rep	Advising on corporate finance	2012-12-24	2013-01-17
Octal Capital Limited	RO	Advising on corporate finance	2012-11-01	2012-11-30
	RO	Dealing in securities	2012-11-01	2012-11-30
	Rep	Advising on corporate finance	2012-09-18	2012-11-01
	Rep	Dealing in securities	2012-09-18	2012-11-01
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Dealing in securities	2010-12-06	2012-05-01
	RO	Advising on corporate finance	2010-07-14	2012-05-01
	Rep	Advising on corporate finance	2010-06-01	2010-07-14
	Rep	Dealing in securities	2010-06-01	2010-12-06
KINGSTON CORPORATE FINANCE LIMITED	RO	Advising on corporate finance	2008-03-26	2010-05-01
FIRST WORLDSEC SECURITIES LIMITED	RO	Advising on corporate finance	2005-05-13	2007-03-01
	Rep	Advising on corporate finance	2005-04-20	2005-05-13
TIS SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2003-04-01	2005-01-17

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.