Personnel Hong Kong SFC License Details (ID 95107)

Personnel Hong Kong SFC License Details (ID 95107)

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
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2021-09-14	-
	Rep	Dealing in securities	2021-09-14	-
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2021-09-14	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2015-07-23	2021-07-23
	Rep	Advising on securities	2015-07-23	2021-07-23
	Rep	Dealing in securities	2015-07-23	2021-07-23
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2013-04-15	2015-06-19
	Rep	Dealing in securities	2013-04-15	2015-06-19
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2012-08-16	2013-04-01
	Rep	Dealing in securities	2012-08-16	2013-04-01
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2011-09-22	2011-10-13
	Rep	Dealing in securities	2007-06-08	2011-10-13
	Rep	Advising on corporate finance	2007-05-31	2011-10-13
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2005-06-24	2007-04-17