Personnel Hong Kong SFC License Details (ID 57351)

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
J & Partners Capital Limited	RO	Advising on corporate finance	2023-10-27	-
Pine Peak Corporate Finance Limited	RO	Advising on corporate finance	2021-06-04	2022-09-08
	RO	Dealing in securities	2021-06-04	2022-09-08
	Rep	Advising on corporate finance	2018-09-26	2018-12-20
	RO	Advising on corporate finance	2018-03-01	2018-09-26
	RO	Dealing in securities	2018-03-01	2018-12-20
	Rep	Advising on corporate finance	2018-01-24	2018-03-01
	Rep	Dealing in securities	2018-01-24	2018-03-01
First Prosperous Capital Company Limited	RO	Advising on corporate finance	2017-03-01	2017-08-31
	RO	Dealing in securities	2017-03-01	2017-08-31
HUABANG CORPORATE FINANCE LIMITED	RO	Advising on corporate finance	2016-06-21	2016-10-16
CMB International Capital Limited	RO	Advising on corporate finance	2015-06-25	2015-11-02
	RO	Dealing in securities	2015-06-25	2015-11-02
	Rep	Advising on corporate finance	2010-09-20	2015-06-25
	Rep	Dealing in securities	2010-09-20	2015-06-25
CMB International Capital Holdings Corporation Limited	Rep	Advising on corporate finance	2010-05-05	2010-09-20
	Rep	Dealing in securities	2010-05-05	2010-09-20
MEGA CAPITAL (ASIA) COMPANY LIMITED	Rep	Advising on corporate finance	2007-09-27	2010-04-16
	Rep	Dealing in securities	2007-09-27	2010-04-16
SBI E2-CAPITAL PARTNERS LIMITED	Rep	Advising on corporate finance	2005-11-07	2007-08-22
	Rep	Dealing in securities	2005-11-07	2007-08-22
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2004-07-30	2005-08-07
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-07-30	2005-08-07
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-23	2004-07-06
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2003-07-17	2004-07-06
SHUN LOONG FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-07-10
	Rep	Asset management	2003-04-01	2003-07-10
	Rep	Providing automated trading services	2003-04-01	2003-07-10
	Rep	Dealing in futures contracts	2003-04-01	2003-07-10
SHUN LOONG SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-10
	Rep	Advising on securities	2003-04-01	2003-07-10
	Rep	Asset management	2003-04-01	2003-07-10
	Rep	Providing automated trading services	2003-04-01	2003-07-10
	Rep	Dealing in securities	2003-04-01	2003-07-10