Personnel Hong Kong SFC License Details (ID 83571)

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
Sun Hung Kai Capital Partners Limited	Rep	Asset management	2023-10-12	2024-09-24
	RO	Dealing in securities	2023-10-12	2024-09-24
	Rep	Dealing in securities	2023-06-19	2023-10-12
	Rep	Advising on securities	2023-06-19	2024-09-24
Mirae Asset Securities (HK) Limited	Rep	Advising on securities	2020-06-03	2023-01-16
	RO	Advising on corporate finance	2019-04-04	2023-01-16
	RO	Dealing in securities	2019-04-04	2023-01-16
	Rep	Advising on corporate finance	2019-02-12	2019-04-04
	Rep	Dealing in securities	2019-02-12	2019-04-04
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2018-06-21	2018-09-14
	Rep	Dealing in securities	2018-06-21	2018-09-14
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2018-06-21	2018-09-14
	RO	Dealing in securities	2015-07-27	2018-06-21
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2015-05-05	2018-06-21
	RO	Dealing in securities	2015-05-05	2018-06-21
	Rep	Advising on corporate finance	2015-03-27	2015-05-05
	Rep	Dealing in securities	2015-03-27	2015-05-05
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2013-08-01	2014-12-10
	Rep	Dealing in securities	2013-08-01	2014-12-10
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-02-15	2013-04-09
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2011-07-18	2013-04-09
	RO	Dealing in securities	2011-07-18	2013-04-09
	Rep	Advising on corporate finance	2011-06-16	2011-07-18
	Rep	Dealing in securities	2011-06-16	2011-07-18
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	2005-06-17	2011-04-14
	Rep	Dealing in securities	2005-06-17	2011-04-14
Macquarie Corporate (Hong Kong) Limited	Rep	Advising on corporate finance	2005-06-17	2011-04-14
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	-	2005-02-16
	Rep	Advising on securities	-	2005-02-16
	Rep	Asset management	-	2005-02-16
	Rep	Dealing in securities	-	2005-02-16