Personnel Hong Kong SFC License Details (ID 106041)

Personnel Hong Kong SFC License Details (ID 106041)

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
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2015-04-17	2023-02-10
	RO	Dealing in securities	2015-04-17	2023-02-10
	Rep	Advising on securities	2014-06-11	2015-04-17
	Rep	Dealing in securities	2014-06-11	2015-04-17
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2012-07-06	2014-04-28
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2006-10-23	2009-08-07
	Rep	Dealing in securities	2006-10-23	2009-08-07
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Advising on securities	-	2006-07-10
	Rep	Dealing in securities	-	2006-07-10