Personnel Hong Kong SFC License Details (ID 81964)

Personnel Hong Kong SFC License Details (ID 81964)

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
CMBC International Capital Limited	RO	Dealing in securities	2022-12-02	-
	RO	Advising on corporate finance	2022-01-21	-
	Rep	Advising on corporate finance	2021-09-10	2022-01-21
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2021-09-10	-
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2016-06-27	2021-08-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-06-27	2021-08-20
China Securities (International) Corporate Finance Company Limited	Rep	Dealing in securities	2014-01-15	2016-05-27
	Rep	Advising on corporate finance	2013-07-11	2016-05-27
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2008-04-22	2013-06-21
Rakuten Securities Hong Kong Limited	Rep	Leveraged foreign exchange trading	2006-03-06	2007-09-21