Personnel SFC Licences and HKMA Registrations (ID 68373)

Key Data Licences & registrations 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
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2025-06-05	-
	RO	Dealing in securities	2025-06-05	-
MAXA CAPITAL LIMITED	RO	Advising on corporate finance	2023-01-06	2025-05-16
	RO	Dealing in securities	2023-01-06	2025-05-16
	Rep	Advising on corporate finance	2022-11-03	2023-01-06
	Rep	Dealing in securities	2022-11-03	2023-01-06
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on securities	2019-07-18	2022-05-08
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2018-03-09	2022-05-08
	RO	Dealing in securities	2018-03-09	2022-05-08
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on corporate finance	2017-11-21	2022-05-08
	RO	Dealing in securities	2017-11-21	2022-05-08
	Rep	Advising on corporate finance	2017-07-10	2017-11-21
	Rep	Dealing in securities	2017-07-10	2017-11-21
XinKong International Capital Limited	RO	Advising on corporate finance	2016-06-10	2017-06-16
	RO	Dealing in securities	2016-06-10	2017-06-16
XinKong International Securities Limited	RO	Advising on corporate finance	2016-01-25	2017-06-16
	RO	Dealing in securities	2016-01-25	2017-06-16
	Rep	Advising on corporate finance	2015-11-10	2016-01-25
	Rep	Dealing in securities	2015-11-10	2016-01-25
ABCI CAPITAL LIMITED	RO	Advising on corporate finance	2011-03-17	2015-10-27
	RO	Dealing in securities	2011-03-17	2015-10-27
ABCI Securities Company Limited	RO	Advising on corporate finance	2010-09-09	2011-04-18
	RO	Dealing in securities	2010-09-09	2011-04-18
	Rep	Advising on corporate finance	2010-08-20	2010-09-09
	Rep	Dealing in securities	2010-08-20	2010-09-09
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2008-05-27	2010-07-16
	RO	Dealing in securities	2008-05-27	2010-07-16
BOCOM International (Asia) Limited	RO	Advising on corporate finance	2007-09-21	2008-02-04
	Rep	Dealing in securities	2007-09-21	2008-02-04
BOCOM International Holdings Company Limited	RO	Advising on corporate finance	2005-08-29	2008-02-04
	Rep	Advising on corporate finance	2004-11-05	2005-08-29
	Rep	Dealing in securities	2004-11-05	2008-02-04
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2004-03-12	2004-11-02
	Rep	Dealing in securities	2004-03-12	2004-11-02
KINGSWAY CAPITAL LIMITED	Rep	Advising on securities	2003-04-01	2004-01-06
	Rep	Asset management	2003-04-01	2004-01-06
	Rep	Advising on corporate finance	2003-04-01	2004-11-02

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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