Personnel Hong Kong SFC License Details (ID 11790111)

Personnel Hong Kong SFC License Details (ID 11790111)

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 securities	2021-03-01	2023-07-18
CLSA LIMITED	Rep	Advising on securities	2021-03-01	2021-07-26
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2021-01-15	2023-07-18
CLSA LIMITED	Rep	Dealing in securities	2021-01-15	2023-07-18
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2018-08-13	2020-12-18
	Rep	Dealing in securities	2018-08-13	2020-12-18
CEB International Capital Corporation Limited	Rep	Advising on corporate finance	2017-08-17	2018-07-19
	Rep	Advising on securities	2017-08-17	2018-07-19
	Rep	Dealing in securities	2017-08-17	2018-07-19