Personnel Hong Kong SFC License Details (ID 94494)

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
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Dealing in securities	2021-04-28	-
	RO	Advising on securities	2021-04-28	2024-02-23
Everbright Securities Investment Services (HK) Limited	RO	Advising on securities	2021-04-28	-
	RO	Dealing in securities	2021-04-28	-
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on securities	2021-01-04	2021-04-28
	Rep	Dealing in securities	2021-01-04	2021-04-28
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2021-01-04	2021-04-28
	Rep	Dealing in securities	2021-01-04	2021-04-28
Crosby Securities Limited	Rep	Advising on securities	2020-03-24	2020-12-16
	Rep	Dealing in securities	2020-02-05	2020-12-16
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2014-08-08	2019-11-01
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2010-03-11	2013-07-05
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2010-03-11	2014-08-08
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2009-12-07	2010-03-02
	Rep	Dealing in securities	2009-12-07	2010-03-02
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2009-06-19	2009-11-23
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-06-19	2009-11-23
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2007-03-08	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-03-08	2008-12-10
	Rep	Dealing in securities	2007-03-08	2008-12-10
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-03-08	2008-12-10