Personnel Hong Kong SFC License Details (ID 121369)

Personnel Hong Kong SFC License Details (ID 121369)

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 Brokerage (HK) Limited	Rep	Dealing in securities	2015-08-19	2017-06-25
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-08-19	2016-02-02
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-01-28	2011-06-12
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2010-01-28	2011-04-01
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in futures contracts	2009-10-12	2009-11-02
	Rep	Dealing in securities	2009-09-15	2009-11-02
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2007-07-30	2009-09-07
CTBC Asia Limited	Rep	Advising on securities	2007-05-08	2007-07-03
	Rep	Dealing in securities	2007-05-08	2007-07-03