Personnel Hong Kong SFC License Details (ID 11789170)

Personnel Hong Kong SFC License Details (ID 11789170)

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 MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2025-06-11	-
	Rep	Dealing in securities	2025-06-11	-
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2023-10-16	2024-08-09
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2020-12-17	2023-10-02
	Rep	Advising on securities	2020-12-17	2023-10-02
	Rep	Dealing in securities	2020-12-17	2023-10-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-08-02	2020-10-16
CLSA LIMITED	Rep	Dealing in securities	2018-08-02	2020-10-16
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2018-07-30	2020-10-16
CLSA LIMITED	Rep	Advising on securities	2018-07-30	2020-10-16
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2017-08-16	2018-07-14