Personnel Hong Kong SFC License Details (ID 98381)

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
Zijing Capital Limited	RO	Dealing in securities	2022-07-21	-
	Rep	Advising on corporate finance	2021-12-30	-
	Rep	Dealing in securities	2021-11-19	2022-07-21
FORTHRIGHT SECURITIES COMPANY LIMITED	Rep	Advising on securities	2021-03-04	2021-10-22
	Rep	Dealing in futures contracts	2021-01-25	2021-10-22
	RO	Dealing in securities	2021-01-25	2021-10-22
	Rep	Dealing in securities	2020-11-19	2021-01-25
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2020-04-14	2020-06-07
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2020-04-14	2020-06-07
SBC CAPITAL PARTNERS LIMITED	Rep	Advising on corporate finance	2019-12-30	2020-01-31
SynerWealth Financial Limited	Rep	Dealing in securities	2019-10-03	2020-01-31
CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	Dealing in securities	2017-05-04	2019-04-30
	Rep	Dealing in securities	2016-02-05	2017-05-04
	Rep	Advising on corporate finance	2016-02-05	2019-04-30
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-07-20	2016-01-26
Changjiang Asset Management (HK) Limited	Rep	Advising on securities	2015-01-29	2015-07-02
	Rep	Asset management	2015-01-29	2015-07-02
Changjiang Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-01-29	2015-07-02
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2013-09-23	2015-01-17
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2013-09-23	2015-01-17
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2010-11-17	2013-06-08
	Rep	Dealing in securities	2010-11-17	2013-06-08
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2008-12-29	2010-11-06
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2010-11-06
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2010-11-06
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2007-06-05	2008-07-31
KGI ASIA LIMITED	RO	Dealing in securities	2006-10-13	2007-05-24
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2006-10-13	2007-05-24
KGI ASIA LIMITED	Rep	Dealing in securities	2005-05-03	2006-10-13
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-05-03	2006-10-13
SBI China Capital Securities Limited	Rep	Dealing in securities	2003-08-01	2005-04-14