Personnel Hong Kong SFC License Details (ID 90606)

Personnel Hong Kong SFC License Details (ID 90606)

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
VAST HARBOUR SECURITIES LIMITED	RO	Dealing in securities	2025-10-21	-
GOLDLINK SECURITIES LIMITED	RO	Dealing in securities	2025-02-24	2025-06-05
Soochow Securities International Brokerage Limited	RO	Dealing in securities	2019-07-04	2021-07-30
Soochow Securities International Capital Limited	RO	Advising on corporate finance	2019-07-04	2021-07-30
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2019-05-14	2019-07-04
Soochow Securities International Capital Limited	Rep	Advising on corporate finance	2019-05-14	2019-07-04
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2018-07-10	2019-01-09
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2018-07-10	2019-01-09
	Rep	Dealing in securities	2018-07-10	2019-01-09
ZHONGTAI INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2017-05-10	2018-06-07
	RO	Dealing in securities	2017-05-10	2018-06-07
	Rep	Advising on corporate finance	2016-06-07	2017-05-10
	Rep	Dealing in securities	2016-06-07	2017-05-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2010-11-22	2015-08-19
	Rep	Advising on securities	2010-11-22	2015-08-19
	Rep	Dealing in securities	2010-11-22	2015-08-19