Personnel Hong Kong SFC License Details (ID 72314)

Personnel Hong Kong SFC License Details (ID 72314)

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
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2022-02-16	-
	Rep	Dealing in securities	2022-02-16	-
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2022-02-16	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2014-06-23	2021-12-24
	Rep	Advising on corporate finance	2011-02-15	2021-12-24
	Rep	Dealing in securities	2011-02-15	2021-12-24
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Dealing in securities	2009-10-15	2011-01-02
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2009-10-15	2011-01-02
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-02-23	2009-09-18
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2007-11-21	2009-09-18