Personnel Hong Kong SFC License Details (ID 88515)

Personnel Hong Kong SFC License Details (ID 88515)

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
Shanggu Securities Limited	RO	Advising on corporate finance	2018-02-05	2021-12-31
	RO	Advising on securities	2018-02-05	2021-12-31
	RO	Dealing in securities	2018-02-05	2021-12-31
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2011-04-13	2016-08-12
	RO	Dealing in securities	2008-12-16	2016-08-12
	Rep	Dealing in securities	2008-09-01	2008-12-16
	Rep	Advising on corporate finance	2008-09-01	2016-08-12
ICEA CAPITAL LIMITED	Rep	Advising on securities	-	2004-01-12
	Rep	Asset management	-	2004-01-12
	Rep	Advising on corporate finance	-	2005-11-01
	Rep	Dealing in securities	-	2005-11-01