Personnel Hong Kong SFC License Details (ID 74423)

Personnel Hong Kong SFC License Details (ID 74423)

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
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on securities	2023-09-28	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2021-10-27	2023-10-04
	Rep	Advising on securities	2021-08-20	2023-10-04
	Rep	Dealing in securities	2021-08-20	2023-10-04
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2021-08-20	-
JOINCAP CAPITAL LIMITED	RO	Advising on securities	2020-08-25	2021-07-29
	RO	Asset management	2020-08-25	2021-07-29
Grit Securities Limited	Rep	Dealing in securities	2018-10-25	2021-07-29
JOINCAP CAPITAL LIMITED	Rep	Advising on securities	2018-10-25	2020-08-25
	Rep	Asset management	2018-10-25	2020-08-25
CLSA LIMITED	Rep	Advising on securities	2014-12-30	2017-05-27
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2013-11-01	2017-05-27
	Rep	Advising on securities	2013-11-01	2017-05-27
CLSA LIMITED	Rep	Dealing in securities	2013-11-01	2017-05-27
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2010-12-20	2013-10-31
	Rep	Advising on securities	2010-12-20	2013-10-31
	Rep	Dealing in securities	2010-12-20	2013-10-31