Personnel SFC Licences and HKMA Registrations (ID 74030)

Key Data Licences & registrations 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
HUAJIN CORPORATE FINANCE (INTERNATIONAL) LIMITED	RO	Advising on securities	2017-10-18	-
HUAJIN FUTURES (INTERNATIONAL) LIMITED	RO	Dealing in futures contracts	2017-10-18	-
HUAJIN RESEARCH (INTERNATIONAL) LIMITED	RO	Advising on securities	2017-10-18	-
HUAJIN SECURITIES (INTERNATIONAL) LIMITED	RO	Dealing in securities	2017-08-21	-
HUAJIN CORPORATE FINANCE (INTERNATIONAL) LIMITED	RO	Advising on corporate finance	2016-12-09	-
CINDA INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2011-05-25	2016-12-01
	RO	Dealing in securities	2011-05-25	2016-12-01
	Rep	Advising on corporate finance	2011-05-16	2011-05-25
	Rep	Dealing in securities	2011-05-16	2011-05-25
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2009-04-20	2011-05-04
	RO	Dealing in securities	2009-04-20	2011-05-04
	Rep	Advising on corporate finance	2009-04-08	2009-04-20
	Rep	Dealing in securities	2009-04-08	2009-04-20
ICEA CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2007-05-03	2008-09-30
ICEA CAPITAL LIMITED	RO	Advising on corporate finance	2006-09-05	2009-04-01
	RO	Dealing in securities	2006-09-05	2009-04-01
	Rep	Advising on corporate finance	2006-06-22	2006-09-05
	Rep	Dealing in securities	2006-06-22	2006-09-05
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2005-03-30	2006-05-25
	RO	Dealing in securities	2005-03-30	2006-05-25
	Rep	Advising on corporate finance	2005-01-31	2005-03-30
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on corporate finance	2004-06-15	2005-01-03
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-11

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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