Personnel Hong Kong SFC License Details (ID 72016)

Personnel Hong Kong SFC License Details (ID 72016)

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
Pimlico Asset Management Limited	RO	Advising on securities	2026-09-10	-
	RO	Asset management	2026-01-14	-
KunPeng Securities Limited	RO	Advising on securities	2025-10-23	2025-11-22
	RO	Asset management	2025-10-23	2025-11-22
	RO	Dealing in securities	2025-10-23	2025-11-22
China United Merchants Asset Management Company Limited	RO	Advising on securities	2024-01-05	2025-04-30
	RO	Asset management	2024-01-05	2025-04-30
	RO	Dealing in securities	2024-01-05	2025-04-30
Diligent Capital Limited	RO	Advising on corporate finance	2023-05-05	2024-01-05
DL SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2018-08-01	2021-09-30
	Rep	Advising on corporate finance	2018-06-12	2018-08-01
Great Wall Pan Asia Corporate Finance Limited	RO	Advising on corporate finance	2017-08-28	2018-05-31
JOINCAP CAPITAL LIMITED	RO	Advising on corporate finance	2014-09-26	2017-08-15
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2012-01-04	2012-03-20
	Rep	Advising on securities	2012-01-04	2012-03-20
	Rep	Dealing in securities	2012-01-04	2012-03-20
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Advising on corporate finance	2011-01-24	2011-12-16
EMPEROR CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2010-06-29	2011-01-14
SOUTH CHINA CAPITAL LIMITED	Rep	Advising on corporate finance	2008-08-18	2010-06-13