Personnel Hong Kong SFC License Details (ID 98377)

Personnel Hong Kong SFC License Details (ID 98377)

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
Kaisa Asset Management Limited	RO	Asset management	2020-06-02	2021-06-28
	RO	Advising on securities	2019-12-06	2021-06-28
Kaisa Financial Group Company Limited	RO	Dealing in securities	2019-12-06	2021-06-28
Kaisa Asset Management Limited	Rep	Asset management	2019-10-23	2020-06-02
	Rep	Advising on securities	2019-09-23	2019-12-06
Kaisa Financial Group Company Limited	Rep	Dealing in securities	2019-09-23	2019-12-06
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2017-12-12	2019-06-27
	Rep	Dealing in securities	2017-12-12	2019-06-27
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2017-12-12	2019-06-27
	Rep	Dealing in securities	2017-12-12	2019-06-27
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2017-07-17	2017-09-26
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2014-04-04	2017-03-17
	Rep	Dealing in securities	2014-04-04	2017-03-17
ORIENTAL PATRON SECURITIES LIMITED	RO	Advising on securities	2013-04-26	2014-04-01
	Rep	Advising on securities	2012-08-15	2013-04-26
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2009-04-23	2012-03-24