Personnel Hong Kong SFC License Details (ID 102250)

Personnel Hong Kong SFC License Details (ID 102250)

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
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2015-07-13	2017-04-29
	Rep	Advising on securities	2014-03-21	2017-04-29
	Rep	Dealing in securities	2014-03-21	2017-04-29
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2004-11-29	2007-06-28
	Rep	Dealing in securities	2004-11-26	2007-06-28
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2003-11-24	2004-10-05
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2003-06-27	2003-11-24
	Rep	Dealing in securities	2003-06-27	2003-11-24
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2003-06-27	2004-10-05
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2003-04-09
	Rep	Advising on futures contracts	-	2003-04-09
	Rep	Advising on securities	-	2003-04-09
	Rep	Asset management	-	2003-04-09
	Rep	Dealing in futures contracts	-	2003-04-09
	Rep	Dealing in securities	-	2003-04-09