Personnel Hong Kong SFC License Details (ID 12096487)

Personnel Hong Kong SFC License Details (ID 12096487)

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 Securities (International) Brokerage Company Limited	Rep	Advising on securities	2023-08-17	-
	Rep	Dealing in securities	2023-08-17	-
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2023-08-17	-
	Rep	Dealing in securities	2023-08-17	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2021-08-24	2023-01-12
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on corporate finance	2020-10-23	2021-07-06
	Rep	Dealing in securities	2020-10-23	2021-07-06
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-10-04	2020-08-21
	Rep	Advising on securities	2017-10-04	2020-08-21
CLSA LIMITED	Rep	Advising on securities	2017-10-04	2020-08-21
	Rep	Dealing in securities	2017-10-04	2020-08-21