Personnel Hong Kong SFC License Details (ID 72298)

Personnel Hong Kong SFC License Details (ID 72298)

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
Trinity Corporate Finance Limited (VG)	RO	Advising on corporate finance	2019-01-07	2020-05-04
Trinity Financial Group Limited	RO	Dealing in securities	2019-01-07	2019-10-16
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2014-06-24	2015-10-24
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2014-01-02	2015-05-12
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2012-09-27	2015-10-24
	RO	Dealing in securities	2012-09-27	2015-10-24
	Rep	Advising on corporate finance	2009-08-10	2012-09-27
	Rep	Dealing in securities	2009-08-10	2012-09-27
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Asset management	-	2004-11-23
	Rep	Advising on corporate finance	-	2009-04-16
	Rep	Advising on securities	-	2009-04-16
	Rep	Dealing in securities	-	2009-04-16