Personnel Hong Kong SFC License Details (ID 58103)

Personnel Hong Kong SFC License Details (ID 58103)

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
CMBC International Capital Limited	RO	Advising on corporate finance	2025-12-01	-
	Rep	Dealing in securities	2025-11-03	-
	Rep	Advising on corporate finance	2025-11-03	2025-12-01
CAITONG INTERNATIONAL CAPITAL CO., LIMITED	RO	Advising on corporate finance	2022-08-24	2025-06-30
	Rep	Advising on corporate finance	2022-03-02	2022-08-24
	Rep	Dealing in securities	2022-03-02	2025-06-30
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-11-03	2021-12-19
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2006-05-22	2021-12-19
	Rep	Advising on corporate finance	2003-04-01	2006-05-22