Pang, Kwan 彭堃
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2013-11-01 | 2017-05-27 | Rep | Advising on securities | 2013-11-01 | 2017-05-27 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2013-11-01 | 2017-05-27 | Rep | Advising on securities | 2014-12-30 | 2017-05-27 |
| 3 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2010-12-20 | 2013-10-31 | Rep | Advising on securities | 2010-12-20 | 2013-10-31 | Rep | Dealing in securities | 2010-12-20 | 2013-10-31 |
| 4 | Grit Securities Limited | Rep | Dealing in securities | 2018-10-25 | 2021-07-29 |
| 5 | JOINCAP CAPITAL LIMITED | Rep | Advising on securities | 2018-10-25 | 2020-08-25 | Rep | Asset management | 2018-10-25 | 2020-08-25 | RO | Advising on securities | 2020-08-25 | 2021-07-29 | RO | Asset management | 2020-08-25 | 2021-07-29 |
| 6 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on securities | 2021-08-20 | 2023-10-04 | Rep | Dealing in securities | 2021-08-20 | 2023-10-04 | Rep | Advising on corporate finance | 2021-10-27 | 2023-10-04 |
| 7 | SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | Advising on securities | 2023-09-28 | |
| 8 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2021-08-20 |
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