Personnel SFC Licences and HKMA Registrations (ID 92318)

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
CARLYON SECURITIES LIMITED	Rep	Dealing in securities	2024-11-20	-
CARLYON CAPITAL LIMITED	RO	Advising on corporate finance	2024-08-06	-
SILVER NILE GLOBAL INVESTMENTS LIMITED	RO	Advising on corporate finance	2021-11-02	2022-06-30
	Rep	Advising on corporate finance	2021-08-19	2021-11-02
HEUNGKONG CAPITAL LIMITED	RO	Advising on corporate finance	2021-03-15	2022-06-30
	Rep	Advising on corporate finance	2019-12-04	2021-03-15
SILVER NILE GLOBAL INVESTMENTS LIMITED	Rep	Dealing in securities	2019-12-04	2022-06-30
SOUTH CHINA CAPITAL LIMITED	RO	Advising on corporate finance	2017-04-21	2019-11-24
	Rep	Advising on corporate finance	2016-07-12	2017-04-21
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2016-07-12	2019-11-24
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2016-07-12	2019-11-24
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-10-31	2015-06-20
	Rep	Advising on corporate finance	2012-06-22	2015-06-20
PIPER JAFFRAY ASIA LIMITED	Rep	Advising on corporate finance	2011-02-10	2011-11-26

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.