Personnel Hong Kong SFC License Details (ID 83572)

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
China Renaissance Securities (Hong Kong) Limited	RO	Advising on securities	2018-10-02	-
	RO	Dealing in securities	2018-10-02	-
	RO	Advising on corporate finance	2018-04-23	-
	Rep	Advising on corporate finance	2018-02-21	2018-04-23
	Rep	Advising on securities	2018-02-21	2018-10-02
	Rep	Dealing in securities	2018-02-21	2018-10-02
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2017-06-09	2018-02-12
	RO	Dealing in securities	2017-06-09	2018-02-12
	Rep	Advising on corporate finance	2017-04-03	2017-06-09
	Rep	Dealing in securities	2017-04-03	2017-06-09
XinKong International Securities Limited	RO	Dealing in securities	2016-09-07	2017-03-27
XinKong International Capital Limited	RO	Advising on corporate finance	2016-06-10	2017-03-27
	RO	Dealing in securities	2016-06-10	2017-03-27
XinKong International Securities Limited	RO	Advising on corporate finance	2015-11-10	2017-03-27
	Rep	Advising on corporate finance	2015-09-09	2015-11-10
	Rep	Dealing in securities	2015-09-09	2016-09-07
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-02-15	2015-08-24
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2008-05-27	2015-08-24
	RO	Dealing in securities	2008-05-27	2015-08-24
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2007-09-25	2008-03-01
	Rep	Dealing in securities	2007-09-25	2008-03-01
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2007-05-29	2007-08-14
	Rep	Dealing in securities	2007-05-29	2007-08-14
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2007-05-03
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-30
	Rep	Advising on securities	2003-04-01	2003-12-30
	Rep	Asset management	2003-04-01	2003-12-30
	Rep	Dealing in securities	2003-04-01	2007-05-03