Personnel Hong Kong SFC License Details (ID 77612)

Personnel Hong Kong SFC License Details (ID 77612)

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
Soochow Securities International Brokerage Limited	RO	Dealing in securities	2022-05-24	2023-07-08
	Rep	Dealing in securities	2022-01-20	2022-05-24
Nerico Brothers Limited (HK)	RO	Dealing in securities	2021-07-30	2021-12-01
Kaisa Asset Management Limited	Rep	Advising on securities	2020-03-26	2020-04-06
Kaisa Financial Group Company Limited	Rep	Dealing in securities	2020-03-26	2020-04-06
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2019-01-07	2019-07-23
	Rep	Dealing in securities	2019-01-07	2019-07-23
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2016-11-14	2018-07-25
	Rep	Dealing in securities	2016-11-14	2018-07-25
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2016-11-14	2018-07-25
	Rep	Dealing in securities	2016-11-14	2018-07-25
SHENG YUAN SECURITIES LIMITED	Rep	Dealing in securities	2015-12-01	2016-10-12
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2015-03-31	2015-07-06
MUFG Securities Asia Limited	Rep	Dealing in securities	2012-03-26	2012-11-20
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-09-14	2011-11-01
	Rep	Dealing in securities	2010-07-16	2011-11-01