Personnel Hong Kong SFC License Details (ID 75800)

Personnel Hong Kong SFC License Details (ID 75800)

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
ABCI CAPITAL LIMITED	RO	Advising on corporate finance	2021-12-06	-
	RO	Dealing in securities	2021-12-06	-
	Rep	Advising on corporate finance	2021-10-21	2021-12-06
	Rep	Dealing in securities	2021-10-21	2021-12-06
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2016-11-02	2021-08-16
	RO	Dealing in securities	2016-11-02	2021-08-16
	Rep	Advising on corporate finance	2016-03-31	2016-11-02
	Rep	Dealing in securities	2016-03-31	2016-11-02
Yi Shun Da Capital Limited	Rep	Advising on corporate finance	2015-11-11	2016-01-10
	Rep	Dealing in securities	2015-11-11	2016-01-10
CMB International Capital Limited	Rep	Advising on corporate finance	2010-09-15	2015-06-14
	Rep	Dealing in securities	2010-09-15	2015-06-14
CMB International Capital Holdings Corporation Limited	Rep	Advising on corporate finance	2010-02-26	2010-09-09
	Rep	Dealing in securities	2010-02-26	2010-09-09
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2009-05-12	2010-02-18
	Rep	Dealing in securities	2009-05-12	2010-02-18
ICEA CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2007-10-29	2008-09-30
ICEA CAPITAL LIMITED	Rep	Advising on corporate finance	2007-10-29	2009-05-04
	Rep	Dealing in securities	2007-10-29	2009-05-04