Personnel Hong Kong SFC License Details (ID 81715)

Personnel Hong Kong SFC License Details (ID 81715)

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
Opus Capital Limited (HK)	RO	Dealing in securities	2025-07-31	-
UZen Securities Limited	RO	Dealing in securities	2023-02-14	2024-11-15
	Rep	Dealing in securities	2022-11-24	2023-02-14
Opus Capital Limited (HK)	RO	Advising on corporate finance	2015-04-13	-
	RO	Dealing in securities	2015-04-13	2022-12-10
	Rep	Advising on corporate finance	2015-03-02	2015-04-13
	Rep	Dealing in securities	2015-03-02	2015-04-13
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2011-06-02	2015-01-28
	RO	Dealing in securities	2011-06-02	2015-01-28
	Rep	Advising on corporate finance	2011-04-28	2011-06-02
	Rep	Dealing in securities	2011-04-28	2011-06-02
UOB ASIA (HONG KONG) LIMITED	RO	Advising on corporate finance	2008-01-08	2011-03-01
	RO	Advising on securities	2008-01-08	2011-03-01
	RO	Dealing in securities	2008-01-08	2011-03-01
	Rep	Advising on corporate finance	2007-08-21	2008-01-08
	Rep	Advising on securities	2007-08-21	2008-01-08
	Rep	Dealing in securities	2007-08-21	2008-01-08