Personnel Hong Kong SFC License Details (ID 52221)

Personnel Hong Kong SFC License Details (ID 52221)

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
Capital Management Limited (HK)	RO	Asset management	2022-10-10	2022-11-30
Dingxin (Securities) Limited	RO	Advising on securities	2019-12-18	2021-10-31
	RO	Dealing in securities	2019-12-18	2021-10-31
RaffAello Securities (HK) Limited	RO	Advising on securities	2018-09-14	2018-12-02
	RO	Dealing in securities	2018-08-14	2018-12-02
	RO	Advising on securities	2014-03-28	2018-04-13
	Rep	Dealing in securities	2013-10-11	2018-04-13
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Advising on securities	2008-10-29	2013-04-10
	Rep	Advising on securities	2008-01-04	2008-10-29
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on securities	2006-10-03	2007-12-01
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-01-20
	Rep	Asset management	-	2004-01-20
	Rep	Advising on securities	-	2006-10-01