Personnel Hong Kong SFC License Details (ID 82469)

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
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2024-02-23	-
	RO	Dealing in securities	2024-02-23	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2024-02-23	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Dealing in securities	2023-08-31	2024-02-23
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2023-08-31	2024-02-23
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2022-03-07	2023-06-01
	Rep	Advising on corporate finance	2021-12-16	2023-06-01
	Rep	Dealing in securities	2021-11-05	2022-03-07
First Prosperous Capital Company Limited	RO	Advising on corporate finance	2021-08-12	2021-10-12
	RO	Dealing in securities	2021-08-12	2021-10-12
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2019-06-18	2021-07-30
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2019-06-18	2021-07-30
CMBC International Capital Limited	RO	Dealing in securities	2018-10-31	2019-05-26
	Rep	Dealing in securities	2018-06-11	2018-10-31
	Rep	Advising on corporate finance	2018-06-11	2019-05-26
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-06-11	2019-05-26
China Securities (International) Brokerage Company Limited	Rep	Dealing in securities	2014-07-22	2018-05-21
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2014-07-22	2018-05-21
	Rep	Dealing in securities	2014-07-22	2018-05-21
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2011-08-25	2014-07-04
KAISER FUTURES LIMITED	Rep	Dealing in futures contracts	2010-02-12	2010-03-19
KAISER SECURITIES LIMITED	Rep	Dealing in securities	2010-02-12	2010-03-19