Personnel Hong Kong SFC License Details (ID 10869032)

Personnel Hong Kong SFC License Details (ID 10869032)

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 (Hong Kong) Limited	RO	Advising on corporate finance	2025-10-09	-
	Rep	Advising on securities	2025-09-08	-
	Rep	Advising on corporate finance	2025-09-08	2025-10-09
CLSA LIMITED	Rep	Dealing in securities	2025-09-08	-
CMBC International Capital Limited	RO	Advising on corporate finance	2023-01-05	2025-08-21
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-07-16	2025-08-21
CMBC International Capital Limited	Rep	Advising on corporate finance	2018-03-13	2023-01-05
	Rep	Dealing in securities	2018-03-13	2025-08-21
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2017-05-24	2018-03-02
	Rep	Advising on securities	2017-05-24	2018-03-02
	Rep	Dealing in securities	2017-05-24	2018-03-02