Personnel Hong Kong SFC License Details (ID 85552)

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 INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2026-04-08	-
	RO	Dealing in securities	2026-04-08	-
BOCI ASIA LIMITED	RO	Dealing in securities	2025-04-25	2026-01-12
BOCI SECURITIES LIMITED	RO	Dealing in securities	2025-04-25	2026-01-12
BOCI ASIA LIMITED	Rep	Dealing in securities	2021-01-13	2025-04-25
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2021-01-13	2025-04-25
BOCI ASIA LIMITED	RO	Advising on corporate finance	2019-05-06	2026-01-12
	Rep	Advising on corporate finance	2019-01-24	2019-05-06
CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2016-07-26	2018-12-31
	RO	Dealing in securities	2016-07-26	2018-12-31
	Rep	Advising on corporate finance	2016-04-29	2016-07-26
	Rep	Dealing in securities	2016-04-29	2016-07-26
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-09-17	2016-04-14
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	RO	Advising on corporate finance	2013-10-25	2016-04-14
	Rep	Advising on corporate finance	2013-07-11	2013-10-25
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2011-12-09	2012-08-22
	Rep	Advising on corporate finance	2011-10-27	2011-12-09
	Rep	Dealing in securities	2011-10-27	2012-08-22
KINGSWAY CAPITAL LIMITED	RO	Advising on corporate finance	2011-03-29	2011-10-21
	Rep	Advising on corporate finance	2010-12-20	2011-03-29
	Rep	Dealing in securities	2010-12-20	2011-10-21
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2010-12-20	2011-06-30
	Rep	Dealing in securities	2010-12-20	2011-10-21
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-11-08	2010-12-01
	Rep	Dealing in securities	2010-11-08	2010-12-01
ABCI Securities Company Limited	RO	Advising on corporate finance	2008-01-24	2010-09-15
	Rep	Advising on corporate finance	2007-05-16	2008-01-24
	Rep	Dealing in securities	2007-05-16	2010-09-15
Everbright Securities Global (HK) Limited	Rep	Dealing in securities	2005-02-03	2007-05-01
	Rep	Advising on securities	2003-04-01	2004-01-27
	Rep	Asset management	2003-04-01	2004-01-27
	Rep	Advising on corporate finance	2003-04-01	2007-05-01