Personnel Hong Kong SFC License Details (ID 79946)

Personnel Hong Kong SFC License Details (ID 79946)

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
Alliance Capital Partners Limited (HK)	RO	Dealing in securities	2014-04-02	-
	RO	Advising on corporate finance	2014-01-24	-
FULBRIGHT CAPITAL LIMITED	RO	Advising on corporate finance	2011-06-14	2013-01-01
FULBRIGHT SECURITIES LIMITED	RO	Dealing in securities	2011-06-14	2013-01-01
SAMSUNG SECURITIES (ASIA) LIMITED	RO	Dealing in securities	2010-06-28	2011-04-15
	RO	Advising on corporate finance	2010-06-15	2011-04-15
	Rep	Advising on corporate finance	2010-05-11	2010-06-15
	Rep	Dealing in securities	2010-05-11	2010-06-28
Standard Chartered Securities (Hong Kong) Limited	RO	Advising on corporate finance	2007-08-20	2009-12-30
	RO	Advising on securities	2007-08-20	2009-12-30
	RO	Dealing in securities	2007-08-20	2009-12-30
	Rep	Advising on corporate finance	2003-06-23	2007-08-20
FIRST SHANGHAI CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-16