Personnel Hong Kong SFC License Details (ID 96198)

Personnel Hong Kong SFC License Details (ID 96198)

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
Frontpage Capital Limited	RO	Advising on corporate finance	2016-06-21	-
	RO	Dealing in securities	2016-06-21	-
	Rep	Advising on corporate finance	2016-03-08	2016-06-21
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Advising on corporate finance	2016-02-04	2016-02-29
VEDA CAPITAL LIMITED (HK)	Rep	Advising on corporate finance	2015-12-22	2016-01-04
TC Capital International Limited	RO	Advising on corporate finance	2015-04-28	2015-12-16
	RO	Dealing in securities	2015-04-28	2015-12-16
	Rep	Advising on corporate finance	2013-03-14	2015-04-28
	Rep	Dealing in securities	2013-03-14	2015-04-28
Neutral Financial Holding Company Limited	Rep	Advising on corporate finance	2012-03-16	2013-02-28
	Rep	Dealing in securities	2012-03-16	2013-02-28
TC Capital International Limited	Rep	Advising on corporate finance	2011-06-14	2012-03-09
Neutral Financial Holding Company Limited	Rep	Advising on corporate finance	2009-01-19	2011-05-29
	Rep	Dealing in securities	2009-01-19	2011-05-29