Personnel Hong Kong SFC License Details (ID 72293)

Personnel Hong Kong SFC License Details (ID 72293)

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
HONOR SECURITIES (HK) LIMITED	RO	Dealing in futures contracts	2019-02-11	2020-03-25
	RO	Dealing in securities	2017-09-26	2021-11-22
HONOR ASSET MANAGEMENT LIMITED	RO	Advising on securities	2016-02-15	2022-11-22
	RO	Asset management	2016-02-15	2022-11-22
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2015-06-22	2015-11-28
	RO	Advising on corporate finance	2014-05-13	2015-11-28
	RO	Dealing in securities	2014-05-13	2015-11-28
	Rep	Advising on corporate finance	2008-11-12	2014-05-13
	Rep	Dealing in securities	2008-11-12	2014-05-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2005-09-22	2007-09-29
	Rep	Dealing in securities	2005-09-22	2007-09-29