Personnel Hong Kong SFC License Details (ID 74397)

Personnel Hong Kong SFC License Details (ID 74397)

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
Sunny Fortune Capital Limited	RO	Advising on corporate finance	2020-01-15	-
	RO	Advising on securities	2020-01-15	-
	RO	Dealing in securities	2020-01-15	-
SOUTH CHINA CAPITAL LIMITED	RO	Advising on corporate finance	2015-09-15	2019-10-22
SOUTH CHINA RESEARCH LIMITED	RO	Advising on securities	2015-09-15	2019-10-22
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2015-09-15	2019-10-22
SOUTH CHINA CAPITAL LIMITED	Rep	Advising on corporate finance	2015-09-09	2015-09-15
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2015-09-09	2015-09-15
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2015-09-09	2015-09-15
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on securities	2007-08-17	2015-06-01
	RO	Advising on corporate finance	2006-11-09	2015-06-01
	RO	Dealing in securities	2006-11-09	2015-06-01
	Rep	Advising on corporate finance	2006-09-05	2006-11-09
	Rep	Dealing in securities	2006-09-05	2006-11-09
DBS ASIA CAPITAL LIMITED	Rep	Dealing in securities	2005-02-16	2006-04-19
	Rep	Asset management	2003-04-01	2005-01-12
	Rep	Advising on corporate finance	2003-04-01	2006-04-19
	Rep	Advising on securities	2003-04-01	2006-04-19