Personnel Hong Kong SFC License Details (ID 70798)

Personnel Hong Kong SFC License Details (ID 70798)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2023-03-24	-
	RO	Dealing in securities	2023-03-24	-
	Rep	Advising on corporate finance	2022-11-21	2023-03-24
	Rep	Dealing in securities	2022-11-21	2023-03-24
China Securities (International) Corporate Finance Company Limited	RO	Advising on corporate finance	2019-05-22	2022-11-04
	RO	Dealing in securities	2019-05-22	2022-11-04
	Rep	Advising on corporate finance	2019-02-22	2019-05-22
	Rep	Dealing in securities	2019-02-22	2019-05-22
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2018-11-05	2019-01-25
	RO	Advising on corporate finance	2012-09-11	2019-01-25
	Rep	Advising on corporate finance	2012-08-08	2012-09-11
BOCI ASIA LIMITED	RO	Advising on corporate finance	2011-09-26	2012-07-01
	Rep	Dealing in securities	2005-07-20	2011-08-26
	Rep	Advising on corporate finance	2005-07-20	2011-09-26
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2005-01-27	2005-07-18
	Rep	Advising on corporate finance	2005-01-10	2005-07-18
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-12-06