Personnel Hong Kong SFC License Details (ID 71404)

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 CAPITAL LIMITED	RO	Advising on corporate finance	2022-07-25	-
	Rep	Dealing in securities	2022-01-10	2022-06-22
	Rep	Advising on corporate finance	2022-01-10	2022-07-25
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on securities	2022-01-10	2025-06-25
	Rep	Dealing in securities	2022-01-10	2025-06-25
YUE XIU SECURITIES COMPANY LIMITED	RO	Dealing in securities	2020-11-23	2021-07-16
Yue Xiu Capital Limited	RO	Advising on corporate finance	2020-03-17	2021-07-16
	Rep	Advising on corporate finance	2020-01-06	2020-03-17
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-01-06	2020-11-23
	Rep	Advising on securities	2020-01-06	2021-07-16
Shang International Finance Limited	RO	Advising on corporate finance	2019-01-28	2019-12-19
	RO	Advising on securities	2019-01-28	2019-12-19
	RO	Dealing in securities	2019-01-28	2019-12-19
XinKong International Capital Limited	RO	Advising on corporate finance	2017-05-15	2018-10-31
	RO	Dealing in securities	2017-05-15	2018-10-31
XinKong International Securities Limited	RO	Advising on corporate finance	2017-05-15	2018-02-22
	RO	Dealing in securities	2017-05-15	2018-10-31
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2014-12-11	2017-04-30
	RO	Dealing in securities	2014-12-11	2017-04-30
	Rep	Advising on corporate finance	2014-08-12	2014-12-11
	Rep	Dealing in securities	2014-08-12	2014-12-11
BOCOM International (Asia) Limited	RO	Advising on corporate finance	2008-11-07	2014-08-08
	RO	Dealing in securities	2008-11-07	2014-08-08
	Rep	Advising on corporate finance	2008-10-28	2008-11-07
	Rep	Dealing in securities	2008-10-28	2008-11-07
Mason Securities Limited	RO	Advising on corporate finance	2007-03-14	2008-10-07
	RO	Dealing in securities	2007-03-14	2008-10-07
	Rep	Advising on corporate finance	2007-02-07	2007-03-14
	Rep	Dealing in securities	2007-02-07	2007-03-14
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2003-06-10	2007-01-28
	RO	Dealing in securities	2003-06-10	2007-01-28