Personnel Hong Kong SFC License Details (ID 100409)

Personnel Hong Kong SFC License Details (ID 100409)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2023-02-07	-
CLSA LIMITED	Rep	Advising on securities	2021-03-24	2023-01-09
TFI Asset Management Limited	Rep	Advising on securities	2017-04-19	2020-04-22
Aetas Global Markets Limited	Rep	Dealing in securities	2014-05-05	2015-09-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2014-01-15	2014-04-12
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2013-04-15	2014-01-11
	Rep	Dealing in securities	2013-04-15	2014-01-11
Aetas Global Markets Limited	Rep	Dealing in securities	2010-09-03	2011-12-23
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2009-01-29	2009-05-23
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2009-01-29	2009-05-23