Personnel Hong Kong SFC License Details (ID 73229)

Personnel Hong Kong SFC License Details (ID 73229)

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
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2015-04-10	2022-10-14
	Rep	Advising on securities	2015-02-17	2015-04-10
	Rep	Dealing in securities	2015-02-17	2018-07-17
FUBON SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-07-18	2015-02-03
	RO	Advising on securities	2012-05-18	2015-02-03
CHINA EVERBRIGHT RESEARCH LIMITED	RO	Advising on securities	2010-07-23	2011-12-31
	Rep	Advising on securities	2009-11-19	2010-07-23
KGI ASIA LIMITED	Rep	Advising on securities	2009-01-14	2009-10-31
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2007-08-07	2009-01-02
KGI ASIA LIMITED	Rep	Advising on securities	2006-03-06	2007-07-22
CITIC FRONTIER CHINA RESEARCH LIMITED	Rep	Advising on securities	2004-09-16	2006-02-01