Personnel Hong Kong SFC License Details (ID 99169)

Personnel Hong Kong SFC License Details (ID 99169)

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
Tongfang Securities Limited	RO	Advising on securities	2018-05-31	2021-05-21
	Rep	Advising on securities	2018-05-15	2018-05-31
	Rep	Asset management	2018-02-13	2021-05-21
SPQ Asia Capital Limited	Rep	Asset management	2016-09-06	2017-10-04
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2014-09-29	2016-08-01
Guosen Securities (HK) Brokerage Company, Limited	RO	Advising on securities	2012-05-30	2014-09-05
	Rep	Advising on securities	2011-02-24	2012-05-30
HAITONG INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2010-06-25	2011-02-01
SBI China Capital Financial Services Limited	Rep	Advising on securities	2008-09-23	2010-06-01
SBI China Capital Securities Limited	Rep	Advising on securities	2007-05-17	2010-06-01