Personnel Hong Kong SFC License Details (ID 58832)

Personnel Hong Kong SFC License Details (ID 58832)

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
Harmonia Capital Limited	RO	Advising on securities	2026-07-29	-
	RO	Dealing in securities	2026-07-29	-
	Rep	Advising on securities	2026-02-03	2026-07-29
	Rep	Dealing in securities	2026-02-03	2026-07-29
SHENG YUAN SECURITIES LIMITED	Rep	Advising on securities	2025-06-24	2025-12-22
	Rep	Dealing in securities	2025-06-24	2025-12-22
SHENG YUAN CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2025-03-24	2025-12-22
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2010-02-26	2023-07-10
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2004-09-10	2023-07-10
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2010-02-26
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-30
	Rep	Advising on securities	2003-04-01	2003-12-30
	Rep	Asset management	2003-04-01	2003-12-30
	Rep	Dealing in securities	2003-04-01	2004-09-10