Personnel Hong Kong SFC License Details (ID 59212)

Personnel Hong Kong SFC License Details (ID 59212)

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
ORIENT CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2016-08-18	2020-06-05
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2016-08-18	2020-06-05
ORIENT CAPITAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2016-07-21	2016-08-18
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2016-07-21	2016-08-18
Soochow Securities International Capital Limited	RO	Advising on corporate finance	2015-08-24	2016-05-01
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2011-03-30	2015-04-28
	RO	Dealing in securities	2011-03-30	2015-04-28
	Rep	Advising on corporate finance	2011-03-08	2011-03-30
	Rep	Dealing in securities	2011-03-08	2011-03-30
UOB ASIA (HONG KONG) LIMITED	RO	Advising on corporate finance	2005-08-29	2011-03-01
	RO	Advising on securities	2005-08-29	2011-03-01
	RO	Dealing in securities	2005-08-29	2011-03-01
	Rep	Advising on corporate finance	2005-07-12	2005-08-29
	Rep	Advising on securities	2005-07-12	2005-08-29
	Rep	Dealing in securities	2005-07-12	2005-08-29
DBS ASIA CAPITAL LIMITED	RO	Asset management	-	2005-01-28
	RO	Advising on corporate finance	-	2005-04-21
	RO	Advising on securities	-	2005-04-21
	RO	Dealing in securities	-	2005-04-21