Personnel Hong Kong SFC License Details (ID 121138)

Personnel Hong Kong SFC License Details (ID 121138)

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
CMB International Securities Limited	Rep	Dealing in securities	2024-12-16	2026-09-14
CMB International Capital Limited	Rep	Advising on corporate finance	2021-10-04	2026-09-14
	Rep	Dealing in securities	2021-10-04	2026-09-14
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2018-11-15	2021-04-30
	Rep	Advising on securities	2018-11-15	2021-04-30
	Rep	Dealing in securities	2018-11-15	2021-04-30
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2014-07-02	2018-07-31
	Rep	Advising on securities	2014-07-02	2018-07-31
	Rep	Dealing in securities	2014-07-02	2018-07-31
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2014-07-02	2018-07-31
	Rep	Advising on securities	2014-07-02	2018-07-31
	Rep	Dealing in securities	2014-07-02	2018-07-31
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2009-09-09	2010-09-01
	Rep	Dealing in securities	2009-09-09	2010-09-01
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-12	2008-12-11
	Rep	Dealing in futures contracts	2008-11-12	2008-12-11
	Rep	Dealing in securities	2007-04-16	2008-12-11
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2007-04-16	2008-12-11
	Rep	Dealing in futures contracts	2007-04-16	2008-12-11