Personnel Hong Kong SFC License Details (ID 78125)

Personnel Hong Kong SFC License Details (ID 78125)

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
DBS ASIA CAPITAL LIMITED	RO	Advising on corporate finance	2022-12-30	-
	RO	Advising on securities	2022-12-30	-
	RO	Dealing in securities	2022-12-30	-
	Rep	Advising on securities	2018-09-04	2022-12-30
	Rep	Advising on corporate finance	2018-07-26	2022-12-30
	Rep	Dealing in securities	2018-07-26	2022-12-30
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2016-04-28	2018-06-22
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2016-04-28	2018-06-22
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2015-02-10	2016-01-21
	Rep	Dealing in securities	2015-02-10	2016-01-21
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2010-09-17	2014-12-14
	Rep	Advising on securities	2010-09-17	2014-12-14
	Rep	Dealing in securities	2010-09-17	2014-12-14