Personnel Hong Kong SFC License Details (ID 69835)

Personnel Hong Kong SFC License Details (ID 69835)

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
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2022-05-20	-
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2018-11-19	2021-06-20
	Rep	Dealing in securities	2018-11-19	2021-06-20
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	Rep	Advising on securities	2017-09-22	2017-10-17
	Rep	Dealing in securities	2017-09-22	2017-10-17
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2016-12-14	2017-09-15
	Rep	Dealing in securities	2016-12-14	2017-09-15
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2010-10-21	2011-10-10
	Rep	Dealing in securities	2010-10-21	2011-10-10