Personnel Hong Kong SFC License Details (ID 96051)

Personnel Hong Kong SFC License Details (ID 96051)

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
GF Capital (Hong Kong) Limited	RO	Advising on corporate finance	2025-12-12	-
	Rep	Advising on corporate finance	2025-10-30	2025-12-12
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2025-10-30	-
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Dealing in securities	2025-04-16	2025-10-07
	RO	Advising on corporate finance	2021-08-20	2025-10-07
	Rep	Advising on corporate finance	2021-05-05	2021-08-20
	Rep	Dealing in securities	2021-05-05	2025-04-16
Lego Corporate Finance Limited	RO	Advising on corporate finance	2018-11-21	2021-03-22
	Rep	Advising on corporate finance	2016-01-22	2018-11-21
QUAM CAPITAL LIMITED	Rep	Advising on corporate finance	2014-03-10	2015-12-31
VC CAPITAL LIMITED	Rep	Advising on corporate finance	2011-11-09	2014-03-04
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2011-02-16	2011-10-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2010-11-29	2011-02-01
CINDA INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2010-07-28	2010-11-20
	Rep	Advising on corporate finance	2008-08-07	2010-11-20
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2008-01-10	2008-07-25
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Rep	Advising on corporate finance	2008-01-10	2008-07-25