Personnel Hong Kong SFC License Details (ID 73305)

Personnel Hong Kong SFC License Details (ID 73305)

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
Expecta Capital Limited	RO	Advising on securities	2022-12-30	-
	RO	Asset management	2022-12-30	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2011-03-14	2012-08-31
	Rep	Dealing in securities	2009-07-22	2011-03-14
	RO	Dealing in securities	2007-03-15	2009-07-22
CHINA INTERNATIONAL CAPITAL CORPORATION (INTERNATIONAL) LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-01-27
	Rep	Advising on securities	2003-04-01	2005-01-27
	Rep	Asset management	2003-04-01	2005-01-27
	Rep	Dealing in securities	2003-04-01	2005-01-27
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-01-27
	Rep	Advising on securities	2003-04-01	2005-01-27
	Rep	Asset management	2003-04-01	2005-01-27
	Rep	Dealing in securities	2003-04-01	2007-03-15