Personnel Hong Kong SFC License Details (ID 112995)

Personnel Hong Kong SFC License Details (ID 112995)

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	Rep	Advising on corporate finance	2015-12-11	2018-12-22
	Rep	Advising on securities	2015-12-11	2018-12-22
CLSA LIMITED	Rep	Dealing in securities	2015-12-11	2018-12-22
CGS International Securities Hong Kong Limited	RO	Advising on corporate finance	2012-07-18	2014-10-31
	RO	Dealing in securities	2012-07-18	2014-10-31
	Rep	Advising on corporate finance	2012-06-15	2012-07-18
	Rep	Dealing in securities	2012-06-15	2012-07-18
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2011-10-04	2012-06-01
	Rep	Dealing in securities	2011-10-04	2012-06-01
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2007-04-10	2009-06-17
	Rep	Dealing in securities	2007-04-10	2009-06-17
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2007-03-09
	Rep	Advising on corporate finance	2004-06-18	2007-03-09
	Rep	Advising on securities	2004-06-18	2007-03-09
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2004-02-16	2004-05-10
	Rep	Advising on securities	2004-02-16	2004-05-10