Personnel Hong Kong SFC License Details (ID 11574434)

Personnel Hong Kong SFC License Details (ID 11574434)

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
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Dealing in securities	2022-12-19	-
	Rep	Advising on securities	2019-10-18	-
	Rep	Asset management	2019-10-18	-
TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED	Rep	Asset management	2018-11-16	2019-10-09
	Rep	Advising on securities	2018-11-12	2019-10-09
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-06-14	2018-08-25
	Rep	Advising on securities	2017-06-14	2018-08-25
CLSA LIMITED	Rep	Advising on securities	2017-06-14	2018-08-25
	Rep	Dealing in securities	2017-06-14	2018-08-25