Personnel Hong Kong SFC License Details (ID 112154)

Personnel Hong Kong SFC License Details (ID 112154)

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
KEEFE, BRUYETTE &AMP; WOODS ASIA LIMITED	RO	Dealing in securities	2010-09-13	2012-11-14
	RO	Advising on securities	2010-06-10	2012-11-14
	Rep	Advising on securities	2010-06-04	2010-06-10
	Rep	Dealing in securities	2010-06-04	2010-09-13
Religare Capital Markets (Hong Kong) Limited	RO	Advising on securities	2009-09-22	2010-05-31
	Rep	Dealing in securities	2008-07-25	2010-05-31
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2005-04-14	2008-01-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Advising on corporate finance	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Advising on securities	-	2006-08-18