Personnel Hong Kong SFC License Details (ID 95140)

Personnel Hong Kong SFC License Details (ID 95140)

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 Renaissance Securities (Hong Kong) Limited	RO	Advising on corporate finance	2025-12-31	2026-07-21
	RO	Advising on securities	2025-12-31	2026-07-21
	RO	Dealing in securities	2025-12-31	2026-07-21
	Rep	Advising on corporate finance	2025-11-10	2025-12-31
	Rep	Advising on securities	2025-11-10	2025-12-31
	Rep	Dealing in securities	2025-11-10	2025-12-31
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2021-05-20	2025-09-26
	Rep	Advising on securities	2021-05-20	2025-09-26
	Rep	Dealing in securities	2021-05-20	2025-09-26
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2018-09-12	2020-11-30
	Rep	Dealing in securities	2018-09-12	2020-11-30
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2018-01-24	2018-07-13
	Rep	Advising on securities	2018-01-24	2018-07-13
	Rep	Dealing in securities	2018-01-24	2018-07-13
Quam Securities Limited	Rep	Advising on securities	2016-01-04	2016-05-15
	Rep	Dealing in securities	2016-01-04	2016-05-15
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2011-09-22	2015-01-08
	Rep	Advising on corporate finance	2009-12-23	2015-01-08
	Rep	Dealing in securities	2009-12-23	2015-01-08