Personnel Hong Kong SFC License Details (ID 49577)

Personnel Hong Kong SFC License Details (ID 49577)

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
Nuada Limited	RO	Advising on corporate finance	2013-03-28	-
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on corporate finance	2010-05-24	2013-03-23
	Rep	Advising on corporate finance	2010-04-12	2010-05-24
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2007-04-18	2010-04-01
TIS SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2005-10-03	2006-04-28
	Rep	Advising on corporate finance	2005-06-24	2005-10-03
	Rep	Advising on securities	2005-06-24	2006-04-28
KGI CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2004-01-08	2005-06-08
	RO	Advising on securities	2004-01-08	2005-06-08
	Rep	Advising on corporate finance	2003-11-25	2004-01-08
KINGSTON CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-11-14
	Rep	Advising on securities	2003-04-01	2003-11-14