Personnel Hong Kong SFC License Details (ID 77806)

Personnel Hong Kong SFC License Details (ID 77806)

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
SBI China Capital Hong Kong Securities Limited	RO	Advising on corporate finance	2021-09-24	2024-10-21
SBI China Capital Financial Services Limited	Rep	Dealing in securities	2021-08-20	2024-10-21
SBI China Capital Hong Kong Securities Limited	Rep	Advising on corporate finance	2021-08-20	2021-09-24
NFH Securities and Futures Limited	Rep	Dealing in securities	2017-08-25	2021-07-14
NFH Corporate Finance Limited	RO	Advising on corporate finance	2015-11-17	2021-07-14
KGI CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2014-02-18	2014-05-17
	Rep	Advising on corporate finance	2013-09-09	2014-02-18
	Rep	Advising on securities	2013-09-09	2014-05-17
	Rep	Dealing in securities	2013-09-09	2014-05-17
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2006-08-24	2012-02-16
	Rep	Advising on corporate finance	2004-10-05	2006-08-24
	Rep	Dealing in securities	2004-10-05	2012-02-16
KPMG CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	-	2004-08-27