Personnel Hong Kong SFC License Details (ID 93640)

Personnel Hong Kong SFC License Details (ID 93640)

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
MaiCapital Limited	RO	Asset management	2019-10-15	2021-01-25
	RO	Advising on securities	2019-05-09	2021-01-25
	Rep	Advising on securities	2018-09-18	2019-05-09
	Rep	Asset management	2018-09-18	2019-10-15
SOUTH CHINA CAPITAL LIMITED	Rep	Advising on corporate finance	2016-02-01	2018-02-28
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2016-02-01	2018-02-28
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2016-02-01	2018-02-28
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2010-08-16	2014-03-27
	Rep	Advising on securities	2010-08-16	2014-03-27
	Rep	Dealing in securities	2010-08-16	2014-03-27
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2007-10-16	2010-08-08
	Rep	Advising on securities	2007-10-16	2010-08-08
	Rep	Dealing in securities	2007-10-16	2010-08-08