Personnel Hong Kong SFC License Details (ID 77943)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on corporate finance	2026-08-27	-
	RO	Advising on securities	2026-08-27	-
	RO	Dealing in securities	2026-08-27	-
	Rep	Advising on corporate finance	2026-05-20	2026-08-27
	Rep	Advising on securities	2026-05-20	2026-08-27
	Rep	Dealing in securities	2026-05-20	2026-08-27
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2025-03-13	2026-05-19
	Rep	Advising on corporate finance	2024-12-18	2025-03-13
	Rep	Dealing in securities	2024-12-18	2026-05-19
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2021-12-30	2023-09-30
	Rep	Dealing in securities	2021-12-30	2023-09-30
	RO	Advising on securities	2021-05-27	2021-12-30
	RO	Dealing in securities	2021-05-27	2021-12-30
	RO	Advising on corporate finance	2021-05-27	2023-09-30
	Rep	Advising on corporate finance	2021-02-23	2021-05-27
	Rep	Advising on securities	2021-02-23	2021-05-27
	Rep	Dealing in securities	2021-02-23	2021-05-27
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2019-04-25	2020-11-25
	Rep	Advising on securities	2019-03-20	2020-11-25
	Rep	Advising on corporate finance	2019-03-12	2019-04-25
	Rep	Dealing in securities	2019-03-12	2020-11-25
CMB International Capital Limited	RO	Advising on corporate finance	2016-11-24	2019-02-15
	Rep	Advising on corporate finance	2016-07-21	2016-11-24
	Rep	Dealing in securities	2016-07-21	2019-02-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2014-12-22	2016-04-13
	Rep	Advising on securities	2014-11-17	2016-04-13
	Rep	Advising on corporate finance	2014-10-20	2014-12-22
	Rep	Dealing in securities	2014-10-20	2016-04-13
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2014-05-02	2014-08-12
	Rep	Advising on corporate finance	2010-07-29	2014-05-02
	Rep	Dealing in securities	2010-07-29	2014-08-12
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2007-06-22	2010-07-17