Personnel Hong Kong SFC License Details (ID 83578)

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
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2026-05-11	-
	RO	Dealing in securities	2026-05-11	-
	Rep	Advising on corporate finance	2026-01-13	2026-05-11
	Rep	Dealing in securities	2026-01-13	2026-05-11
Grande Capital Limited	RO	Advising on corporate finance	2025-11-28	2025-12-15
	RO	Dealing in securities	2025-11-28	2025-12-15
EMPEROR CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2025-05-22	2025-06-17
	Rep	Dealing in securities	2025-05-22	2025-06-17
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2016-02-23	2025-04-21
	RO	Dealing in securities	2016-02-23	2025-04-21
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2015-01-09	2016-02-15
	RO	Dealing in securities	2015-01-09	2016-02-15
	Rep	Advising on corporate finance	2014-12-08	2015-01-09
	Rep	Dealing in securities	2014-12-08	2015-01-09
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2014-01-10	2014-11-19
	RO	Dealing in securities	2014-01-10	2014-11-19
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2013-07-19	2013-11-18
	Rep	Advising on securities	2013-07-19	2013-11-18
	Rep	Dealing in securities	2013-07-19	2013-11-18
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2012-02-22	2013-04-12
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2009-06-08	2013-04-12
	Rep	Advising on corporate finance	2009-04-08	2009-06-08
	Rep	Dealing in securities	2009-04-08	2013-04-12
ICEA CAPITAL LIMITED	RO	Advising on corporate finance	2008-09-18	2009-04-01
ICEA CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2007-05-02	2008-09-30
ICEA CAPITAL LIMITED	Rep	Advising on corporate finance	2006-05-23	2008-09-18
	Rep	Dealing in securities	2006-05-23	2009-04-01
CMB International Capital Holdings Corporation Limited	Rep	Advising on corporate finance	2005-08-15	2006-05-15
CNI GLOBAL CAPITAL LIMITED	Rep	Advising on corporate finance	2004-08-20	2005-08-12