Personnel Hong Kong SFC License Details (ID 92419)

Personnel Hong Kong SFC License Details (ID 92419)

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
Yuanta Securities (Hong Kong) Company Limited	RO	Dealing in securities	2018-06-04	2021-10-28
	Rep	Dealing in securities	2017-05-22	2018-06-04
	Rep	Advising on corporate finance	2017-05-22	2021-10-28
Ping An of China Capital (Hong Kong) Company Limited	Rep	Advising on corporate finance	2016-03-21	2017-04-27
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Dealing in securities	2016-03-21	2017-04-27
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2014-08-20	2015-04-17
	Rep	Advising on securities	2014-08-20	2015-04-17
	Rep	Dealing in securities	2014-08-20	2015-04-17
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on corporate finance	2013-07-18	2014-05-30
	Rep	Dealing in securities	2013-07-18	2014-05-30
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2013-03-14	2013-06-15
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2012-06-14	2013-03-01
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2010-10-15	2013-03-01