Personnel Hong Kong SFC License Details (ID 97900)

Personnel Hong Kong SFC License Details (ID 97900)

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
CC Kingdom Corporate Finance Limited	RO	Advising on corporate finance	2023-05-09	-
	Rep	Advising on corporate finance	2023-03-10	2023-05-09
JW CAPITAL SECURITIES LIMITED	RO	Advising on corporate finance	2017-02-08	2023-02-28
	RO	Advising on corporate finance	2016-04-26	2016-10-26
	Rep	Advising on corporate finance	2011-08-26	2016-04-26
	Rep	Advising on securities	2011-08-26	2023-02-28
	Rep	Asset management	2011-08-26	2023-02-28
CSC ASIA LIMITED	Rep	Advising on corporate finance	2010-09-17	2011-01-01
CSC SECURITIES (HK) LIMITED	Rep	Advising on securities	2010-09-17	2011-01-01
JW CAPITAL SECURITIES LIMITED	Rep	Advising on corporate finance	2009-02-18	2010-07-01
	Rep	Advising on securities	2009-02-18	2010-07-01
KGI CAPITAL ASIA LIMITED	Rep	Asset management	2003-07-14	2003-11-05
	Rep	Advising on corporate finance	2003-07-14	2008-12-16
	Rep	Advising on securities	2003-07-14	2008-12-16
	Rep	Dealing in securities	2003-07-14	2008-12-16
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-14
	Rep	Advising on securities	2003-04-01	2003-07-14
	Rep	Asset management	2003-04-01	2003-07-14
	Rep	Dealing in securities	2003-04-01	2003-07-14