Personnel Hong Kong SFC License Details (ID 92929)

Personnel Hong Kong SFC License Details (ID 92929)

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
Soochow Securities International Brokerage Limited	RO	Dealing in securities	2019-11-13	2021-10-08
Soochow Securities International Capital Limited	RO	Advising on corporate finance	2019-11-13	2021-10-08
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2019-08-20	2019-11-13
Soochow Securities International Capital Limited	Rep	Advising on corporate finance	2019-08-20	2019-11-13
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2018-02-09	2019-07-19
	Rep	Advising on securities	2018-02-09	2019-07-19
	Rep	Dealing in securities	2018-02-09	2019-07-19
CELESTIAL CAPITAL LIMITED	RO	Advising on corporate finance	2017-05-17	2018-02-02
	RO	Dealing in securities	2017-05-17	2018-02-02
	Rep	Advising on corporate finance	2015-03-23	2017-05-17
	Rep	Dealing in securities	2015-03-23	2017-05-17
QUAM CAPITAL LIMITED	Rep	Advising on corporate finance	2010-10-14	2013-06-15