Personnel Hong Kong SFC License Details (ID 11784405)

Personnel Hong Kong SFC License Details (ID 11784405)

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
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2025-03-18	2025-09-15
China Alpha Fund Management (HK) Limited	Rep	Advising on securities	2021-04-26	2024-10-09
	Rep	Asset management	2021-04-26	2024-10-09
CLSA LIMITED	Rep	Advising on securities	2019-02-12	2020-10-09
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2017-11-10	2018-11-03
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2017-08-28	2017-09-13
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2017-08-02	2017-09-13