Personnel Hong Kong SFC License Details (ID 81730)

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
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2026-09-22	-
Soochow Securities International Capital Limited	RO	Advising on corporate finance	2026-04-15	2026-09-07
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2025-11-27	2025-12-24
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2025-11-27	2025-12-24
CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Dealing in securities	2024-07-24	2025-10-28
	RO	Advising on corporate finance	2022-04-29	2025-10-28
	Rep	Advising on corporate finance	2022-01-17	2022-04-29
	Rep	Dealing in securities	2022-01-17	2024-07-24
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2019-12-05	2021-12-19
	Rep	Advising on corporate finance	2016-03-01	2019-12-05
	Rep	Dealing in securities	2016-03-01	2021-12-19
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2014-12-09	2015-12-15
	Rep	Dealing in securities	2014-12-09	2015-12-15
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2013-11-28	2014-11-29
	Rep	Dealing in securities	2013-11-28	2014-11-29
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2013-08-05	2013-11-19
	Rep	Advising on securities	2013-08-05	2013-11-19
	Rep	Dealing in securities	2013-08-05	2013-11-19
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2011-04-01	2013-07-31
	Rep	Dealing in securities	2011-04-01	2013-07-31
UOB ASIA (HONG KONG) LIMITED	Rep	Advising on corporate finance	2010-05-04	2011-03-01
	Rep	Advising on securities	2010-05-04	2011-03-01
	Rep	Dealing in securities	2010-05-04	2011-03-01