Personnel Hong Kong SFC License Details (ID 92402)

Personnel Hong Kong SFC License Details (ID 92402)

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	Rep	Advising on corporate finance	2024-07-31	2025-08-08
SORRENTO SECURITIES LIMITED	Rep	Dealing in securities	2024-07-31	2025-08-08
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2017-03-03	2022-06-30
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-03-26	2022-06-30
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-03-26	2022-06-30
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2012-06-14	2013-03-15
	Rep	Dealing in futures contracts	2012-06-14	2013-03-15
	Rep	Dealing in securities	2012-06-14	2013-03-15
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-08-03	2013-03-15
	Rep	Advising on securities	2010-12-02	2013-03-15
	Rep	Dealing in securities	2010-12-02	2013-03-15
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2009-12-09	2010-11-04
	Rep	Dealing in securities	2009-12-09	2010-11-04