Personnel Hong Kong SFC License Details (ID 91373)

Personnel Hong Kong SFC License Details (ID 91373)

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
SORRENTO CAPITAL LIMITED	RO	Advising on corporate finance	2019-07-05	-
SORRENTO SECURITIES LIMITED	Rep	Dealing in securities	2019-07-05	-
LY CAPITAL LIMITED	RO	Advising on corporate finance	2019-01-17	2019-06-29
	Rep	Dealing in securities	2019-01-16	2019-06-29
	Rep	Advising on corporate finance	2018-11-12	2019-01-17
Founder Securities (Hong Kong) Capital Company Limited	RO	Advising on corporate finance	2018-10-09	2018-11-03
	Rep	Advising on corporate finance	2018-07-06	2018-10-09
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2014-10-29	2018-06-01
Octal Capital Limited	Rep	Advising on corporate finance	2012-10-12	2014-10-10
	Rep	Dealing in securities	2012-10-12	2014-10-10
PARTNERS CAPITAL INTERNATIONAL LIMITED	Rep	Advising on corporate finance	2011-01-21	2012-10-06
	Rep	Dealing in securities	2011-01-21	2012-10-06
ASIA INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2006-04-21	2006-07-24
	Rep	Asset management	2006-04-21	2006-07-24
ASIA INVESTMENT RESEARCH LIMITED	Rep	Advising on securities	2005-05-17	2005-10-31
	Rep	Asset management	2005-05-17	2005-10-31