Personnel Hong Kong SFC License Details (ID 73676)

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
Minerva Advisory Global Capital Limited	RO	Advising on corporate finance	2024-08-08	-
Diligent Capital Limited	RO	Advising on corporate finance	2024-01-30	2024-07-01
	Rep	Advising on corporate finance	2024-01-09	2024-01-30
TFI Capital Limited	RO	Advising on corporate finance	2022-11-18	2023-10-02
	Rep	Advising on corporate finance	2022-07-14	2022-11-18
Sunfund Capital Limited	RO	Advising on corporate finance	2019-06-26	2022-05-02
	Rep	Advising on corporate finance	2019-06-14	2019-06-26
SUNFUND SECURITIES LIMITED	Rep	Dealing in securities	2019-06-14	2022-05-02
LY CAPITAL LIMITED	RO	Dealing in securities	2018-01-11	2019-05-26
	RO	Advising on corporate finance	2017-09-11	2019-05-26
	Rep	Advising on corporate finance	2017-07-05	2017-09-11
	Rep	Dealing in securities	2017-07-05	2018-01-11
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-09-14	2017-06-09
ORIENT CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2014-09-18	2017-06-09
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2011-06-20	2014-04-23
	Rep	Advising on corporate finance	2011-05-16	2011-06-20
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2011-01-12	2011-04-05
SOUTH CHINA CAPITAL LIMITED	RO	Advising on corporate finance	2010-03-25	2011-04-05
	Rep	Advising on corporate finance	2009-06-29	2010-03-25
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2007-06-21	2009-02-06
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on securities	2006-09-13	2007-06-01
	Rep	Dealing in securities	2006-09-13	2007-06-01
	Rep	Advising on corporate finance	2006-08-11	2007-06-01
EVOLUTION ASIA INVESTMENTS LIMITED	Rep	Advising on corporate finance	2003-04-01	2006-08-01