Personnel Hong Kong SFC License Details (ID 10424282)

Personnel Hong Kong SFC License Details (ID 10424282)

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
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2025-12-02	-
	RO	Dealing in securities	2025-12-02	-
	Rep	Advising on securities	2024-01-23	2025-12-02
	Rep	Dealing in securities	2024-01-23	2025-12-02
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2024-01-23	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-06-08	2023-08-08
	Rep	Advising on securities	2021-06-08	2023-08-08
	Rep	Dealing in securities	2021-06-08	2023-08-08
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2019-06-03	2021-02-24
	Rep	Dealing in securities	2018-12-03	2021-02-24
	Rep	Advising on corporate finance	2018-10-22	2021-02-24
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2018-09-17	2018-09-21
ABCI CAPITAL LIMITED	Rep	Advising on corporate finance	2017-05-16	2018-08-20
	Rep	Dealing in securities	2017-05-16	2018-08-20