Personnel Hong Kong SFC License Details (ID 71406)

Personnel Hong Kong SFC License Details (ID 71406)

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
Ballas Capital Limited	RO	Advising on corporate finance	2022-11-21	-
	RO	Dealing in securities	2022-11-21	-
	Rep	Advising on corporate finance	2022-09-28	2022-11-21
	Rep	Dealing in securities	2022-09-28	2022-11-21
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2020-09-01	2022-07-31
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	RO	Dealing in securities	2020-01-29	2022-07-31
SDIC SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2015-08-26	2020-01-29
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	RO	Advising on corporate finance	2015-02-25	2022-07-31
	Rep	Advising on corporate finance	2015-01-30	2015-02-25
BOCOM International (Asia) Limited	RO	Advising on corporate finance	2009-02-03	2015-01-06
	RO	Dealing in securities	2009-02-03	2015-01-06
	Rep	Advising on corporate finance	2008-09-12	2009-02-03
	Rep	Dealing in securities	2008-09-12	2009-02-03
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2007-11-20	2008-08-05
	Rep	Advising on corporate finance	2007-03-23	2008-08-05
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	RO	Advising on corporate finance	2004-07-21	2008-08-05
	Rep	Advising on corporate finance	2003-04-01	2004-07-21