Personnel Hong Kong SFC License Details (ID 111781)

Personnel Hong Kong SFC License Details (ID 111781)

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
Standard Advisory Asia Limited	RO	Advising on corporate finance	2014-12-01	2017-01-11
	RO	Advising on securities	2014-12-01	2017-01-11
	RO	Dealing in securities	2014-12-01	2017-01-11
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on corporate finance	2009-03-12	2009-07-14
	RO	Advising on securities	2009-03-12	2009-07-14
	RO	Dealing in securities	2009-03-12	2009-07-14
	Rep	Advising on corporate finance	2009-01-14	2009-03-12
BEAR STEARNS ASIA LIMITED	RO	Advising on corporate finance	2006-08-10	2008-10-01
	Rep	Advising on corporate finance	2006-07-12	2006-08-10
BOCI ASIA LIMITED	RO	Advising on corporate finance	2005-03-30	2006-06-30
	Rep	Dealing in securities	-	2004-05-18
	Rep	Advising on corporate finance	-	2005-03-30