Personnel Hong Kong SFC License Details (ID 109646)

Personnel Hong Kong SFC License Details (ID 109646)

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
Lego Asset Management Limited	RO	Advising on securities	2019-03-01	2021-02-01
	RO	Asset management	2019-03-01	2021-02-01
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-01-12	2010-10-16
	Rep	Dealing in securities	2010-01-12	2010-10-16
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2007-04-26	2008-12-05
	Rep	Advising on securities	2007-04-26	2008-12-05
	Rep	Dealing in securities	2007-04-26	2008-12-05
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2004-04-02	2006-04-21
	Rep	Dealing in securities	2004-04-02	2006-04-21
Credit Suisse Securities (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-03-02
	Rep	Advising on securities	-	2004-03-02
	Rep	Asset management	-	2004-03-02