Personnel Hong Kong SFC License Details (ID 83575)

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
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2016-02-23	2023-02-28
	RO	Dealing in securities	2016-02-23	2023-02-28
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2015-01-16	2015-12-16
	RO	Dealing in securities	2015-01-16	2015-12-16
	Rep	Advising on corporate finance	2015-01-06	2015-01-16
	Rep	Dealing in securities	2015-01-06	2015-01-16
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2014-05-12	2014-12-15
	RO	Dealing in securities	2014-05-12	2014-12-15
	Rep	Advising on corporate finance	2014-02-28	2014-05-12
	Rep	Dealing in securities	2014-02-28	2014-05-12
RaffAello Capital Limited	RO	Advising on corporate finance	2012-09-27	2014-02-21
	Rep	Advising on corporate finance	2012-09-01	2012-09-27
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-02-15	2012-07-31
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2011-04-14	2012-07-31
	RO	Dealing in securities	2011-04-14	2012-07-31
	Rep	Advising on corporate finance	2009-04-09	2011-04-14
	Rep	Dealing in securities	2009-04-09	2011-04-14
ICEA CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2007-05-02	2008-09-30
ICEA CAPITAL LIMITED	Rep	Dealing in securities	2006-01-18	2009-04-01
	Rep	Advising on corporate finance	2006-01-06	2009-04-01
Optima Capital Limited	Rep	Advising on corporate finance	2005-08-08	2005-12-20
CNI GLOBAL CAPITAL LIMITED	Rep	Advising on corporate finance	2004-04-13	2005-07-29