Personnel Hong Kong SFC License Details (ID 76995)

Personnel Hong Kong SFC License Details (ID 76995)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2016-11-10	-
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-08-21	2016-11-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2015-08-08
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2015-08-08
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2007-06-05	2008-10-01
KGI ASIA LIMITED	Rep	Dealing in securities	2005-09-27	2007-05-24
CGS International Securities Hong Kong Limited	Rep	Advising on corporate finance	2003-04-01	2004-10-12
	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in securities	2003-04-01	2005-09-13