Personnel Hong Kong SFC License Details (ID 72975)

Personnel Hong Kong SFC License Details (ID 72975)

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
CMBC International Capital Limited	RO	Advising on corporate finance	2025-11-27	-
	RO	Dealing in securities	2025-11-27	-
	Rep	Advising on corporate finance	2025-11-12	2025-11-27
	Rep	Dealing in securities	2025-11-12	2025-11-27
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Dealing in securities	2022-05-03	2025-11-06
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2022-05-03	2025-11-06
	RO	Dealing in securities	2022-05-03	2025-11-06
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on corporate finance	2020-01-21	2025-11-06
	Rep	Advising on corporate finance	2018-05-17	2020-01-21
	Rep	Dealing in securities	2018-05-17	2022-05-03
KGI CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2015-12-01	2018-05-03
	Rep	Dealing in securities	2015-12-01	2018-05-03
SUCCESS NEW SPRING CAPITAL LIMITED	Rep	Advising on corporate finance	2012-03-14	2015-11-14
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2010-08-24	2012-02-13
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2010-08-24	2012-02-13