Personnel Hong Kong SFC License Details (ID 110315)

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
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2023-12-22	2024-10-10
	Rep	Advising on corporate finance	2023-11-13	2023-12-22
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2022-08-11	2023-11-05
	Rep	Advising on corporate finance	2022-04-27	2022-08-11
	Rep	Advising on securities	2022-04-27	2023-11-05
	Rep	Dealing in securities	2022-04-27	2023-11-05
CLSA LIMITED	Rep	Dealing in securities	2021-12-29	2022-03-06
	RO	Dealing in securities	2021-06-02	2021-12-29
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2018-10-23	2022-03-06
	Rep	Advising on corporate finance	2018-07-23	2018-10-23
	Rep	Advising on securities	2018-07-23	2022-03-06
CLSA LIMITED	Rep	Dealing in securities	2018-07-23	2021-06-02
	Rep	Advising on securities	2018-07-23	2021-07-28
BNP PARIBAS SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	2017-06-20	2018-06-15
	Rep	Advising on corporate finance	2014-04-09	2017-06-20
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2012-03-29	2013-10-12
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2006-06-15	2007-07-31
	Rep	Advising on securities	2006-06-15	2007-07-31
CLSA LIMITED	Rep	Dealing in securities	2006-06-15	2007-07-31
DBS ASIA CAPITAL LIMITED	Rep	Asset management	2004-01-29	2005-01-28
	Rep	Advising on corporate finance	2004-01-29	2006-05-20
	Rep	Advising on securities	2004-01-29	2006-05-20
	Rep	Dealing in securities	2004-01-29	2006-05-20
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	-	2004-01-01
	Rep	Advising on securities	-	2004-01-01
	Rep	Asset management	-	2004-01-01