Personnel Hong Kong SFC License Details (ID 84362)

Personnel Hong Kong SFC License Details (ID 84362)

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 SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2022-03-01	-
	Rep	Dealing in securities	2021-11-15	2022-03-01
GF Securities (Hong Kong) Brokerage Limited	RO	Dealing in securities	2021-04-08	2021-10-30
	Rep	Dealing in securities	2020-12-23	2021-04-08
	RO	Dealing in securities	2020-01-02	2020-11-26
	Rep	Dealing in securities	2018-09-10	2020-01-02
Jefferies Hong Kong Limited	Rep	Dealing in securities	2011-06-17	2018-07-19
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2004-04-28	2011-05-03
SG SECURITIES (HK) LIMITED	Rep	Advising on securities	2003-04-01	2003-12-16
	Rep	Asset management	2003-04-01	2003-12-16
	Rep	Advising on corporate finance	2003-04-01	2004-01-13
	Rep	Providing automated trading services	2003-04-01	2004-04-27
	Rep	Dealing in securities	2003-04-01	2004-04-27