Personnel Hong Kong SFC License Details (ID 115509)

Personnel Hong Kong SFC License Details (ID 115509)

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
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2019-07-12	2020-12-04
	RO	Advising on securities	2019-07-12	2020-12-04
	RO	Dealing in securities	2019-07-12	2020-12-04
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2019-07-12	2020-12-04
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2018-09-21	2019-07-12
	Rep	Advising on corporate finance	2017-11-10	2019-07-12
	Rep	Dealing in securities	2017-11-10	2019-07-12
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-11-10	2019-07-12
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-01-13	2016-03-24
	Rep	Advising on securities	2012-01-13	2016-03-24
	Rep	Dealing in securities	2012-01-13	2016-03-24
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2010-09-07	2011-02-21
	Rep	Advising on securities	2010-09-07	2011-02-21
	Rep	Dealing in securities	2010-09-07	2011-02-21
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2010-01-08	2010-05-10
	Rep	Dealing in securities	2010-01-08	2010-05-10
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2010-01-08	2010-05-10
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2005-04-27	2005-06-22
	Rep	Advising on securities	2005-04-27	2005-06-22