Personnel Hong Kong SFC License Details (ID 68375)

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
KINGSWAY SW ASSET MANAGEMENT LIMITED (VG)	Rep	Asset management	2022-09-29	-
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on securities	2022-01-18	-
	Rep	Asset management	2022-01-18	-
	Rep	Dealing in securities	2021-12-22	-
Tongfang Securities Limited	Rep	Dealing in securities	2018-03-08	2021-10-18
Tongfang Capital Limited	RO	Advising on corporate finance	2017-09-29	2021-10-18
GRANSING SECURITIES CO., LIMITED	RO	Advising on corporate finance	2016-02-17	2017-01-28
	RO	Advising on securities	2016-02-17	2017-01-28
	Rep	Asset management	2016-01-11	2017-01-28
	RO	Dealing in securities	2015-10-09	2017-01-28
	Rep	Dealing in securities	2015-08-12	2015-10-09
FRONTIER CAPITAL INVESTMENT LIMITED	Rep	Advising on corporate finance	2015-02-13	2015-02-13
	RO	Advising on corporate finance	2014-12-18	2015-02-13
	RO	Advising on securities	2014-12-18	2015-02-13
	RO	Dealing in securities	2014-12-18	2015-02-13
RHB CAPITAL HONG KONG LIMITED	RO	Dealing in securities	2013-01-07	2013-07-09
	Rep	Dealing in securities	2012-11-05	2013-01-07
	Rep	Advising on corporate finance	2012-11-05	2013-07-09
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-11-05	2013-07-09
ABCI Securities Company Limited	Rep	Advising on securities	2011-10-31	2012-10-05
	Rep	Dealing in securities	2011-10-31	2012-10-05
ABCI CAPITAL LIMITED	RO	Dealing in securities	2011-10-27	2012-10-05
	Rep	Dealing in securities	2011-08-23	2011-10-27
	Rep	Advising on corporate finance	2011-08-23	2012-10-05
MUFG Securities Asia Limited	Rep	Advising on corporate finance	2010-12-31	2011-04-19
	Rep	Advising on securities	2010-12-31	2011-04-19
	RO	Dealing in securities	2010-12-31	2011-04-19
RHB CAPITAL HONG KONG LIMITED	Rep	Advising on corporate finance	2009-05-26	2010-06-30
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2009-05-26	2010-06-30
	Rep	Dealing in securities	2009-04-07	2010-06-30
Goldin Equities Limited	Rep	Dealing in securities	2009-02-12	2009-03-23
DBS ASIA CAPITAL LIMITED	Rep	Advising on securities	2008-10-27	2008-11-14
	Rep	Advising on corporate finance	2008-10-13	2008-11-14
	Rep	Dealing in securities	2008-10-13	2008-11-14
KINGSWAY CAPITAL LIMITED	RO	Dealing in securities	2008-08-14	2008-10-01
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Dealing in securities	2007-11-19	2008-10-01
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2004-11-03	2008-10-01
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2004-11-03	2007-11-19
	Rep	Advising on corporate finance	2004-11-03	2008-10-01