Personnel Hong Kong SFC License Details (ID 11800013)

Personnel Hong Kong SFC License Details (ID 11800013)

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
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2021-09-06	-
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2020-05-19	2021-07-20
	Rep	Dealing in securities	2020-05-19	2021-07-20
CLSA LIMITED	Rep	Advising on securities	2019-10-17	2020-03-06
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-09-23	2020-03-06
	Rep	Advising on securities	2019-09-23	2020-03-06
CLSA LIMITED	Rep	Dealing in securities	2019-09-23	2020-03-06
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-09-08	2019-09-14
	Rep	Advising on securities	2017-09-08	2019-09-14
	Rep	Dealing in securities	2017-09-08	2019-09-14