Personnel Hong Kong SFC License Details (ID 61903)

Personnel Hong Kong SFC License Details (ID 61903)

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
SUNHIGH FINANCIAL HOLDINGS LIMITED	RO	Advising on securities	2017-06-02	2017-07-04
	RO	Asset management	2017-06-02	2017-07-04
	RO	Dealing in securities	2017-06-02	2017-07-04
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Dealing in securities	2009-08-12	2010-09-23
	Rep	Dealing in securities	2009-04-28	2009-08-12
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Advising on securities	2006-07-15	2009-04-01
	RO	Dealing in securities	2006-07-15	2009-04-01
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2006-04-10	2006-04-21
	Rep	Dealing in securities	2006-04-10	2006-04-21
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2005-07-15	2006-04-08
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2005-07-15	2006-04-08
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Advising on securities	2004-12-07	2005-07-14
	RO	Dealing in securities	2004-08-30	2005-07-14
	Rep	Advising on corporate finance	2004-01-27	2004-08-30
	Rep	Dealing in securities	2004-01-27	2004-08-30
Polaris Capital (Asia) Limited	Rep	Advising on corporate finance	-	2004-01-14
	Rep	Dealing in securities	-	2004-01-14