Personnel Hong Kong SFC License Details (ID 73111)

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
Fosun International Securities Limited	RO	Dealing in securities	2026-09-17	-
Fosun International Capital Limited	RO	Advising on securities	2024-04-17	-
	RO	Advising on corporate finance	2023-10-24	-
	RO	Dealing in securities	2023-10-24	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2021-12-28	2023-06-14
	RO	Dealing in securities	2021-12-28	2023-06-14
	Rep	Advising on corporate finance	2021-10-20	2021-12-28
	Rep	Dealing in securities	2021-10-20	2021-12-28
PING AN SECURITIES (HONG KONG) COMPANY LIMITED	RO	Dealing in securities	2020-05-29	2021-10-04
	Rep	Dealing in securities	2019-12-11	2020-05-29
Ping An of China Capital (Hong Kong) Company Limited	RO	Advising on corporate finance	2019-01-02	2021-10-04
Ping An Securities (Hong Kong) Holdings Company Limited	RO	Dealing in securities	2019-01-02	2020-06-01
Somerley Capital Limited	RO	Advising on corporate finance	2017-09-19	2018-12-23
	RO	Dealing in securities	2017-09-19	2018-12-23
	Rep	Advising on corporate finance	2015-05-06	2017-09-19
	Rep	Dealing in securities	2015-05-06	2017-09-19
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2013-10-11	2015-04-28
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2013-04-17	2013-08-29
	Rep	Dealing in securities	2013-04-17	2013-08-29
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2010-12-02	2013-03-31
	Rep	Advising on securities	2010-12-02	2013-03-31
	Rep	Dealing in securities	2010-12-02	2013-03-31
Shang International Finance Limited	Rep	Advising on corporate finance	2007-09-14	2010-11-21
	Rep	Advising on securities	2007-09-14	2010-11-21
	Rep	Dealing in securities	2007-09-14	2010-11-21