Personnel Hong Kong SFC License Details (ID 122003)

Personnel Hong Kong SFC License Details (ID 122003)

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 International Global Markets Limited	Rep	Dealing in futures contracts	2020-12-21	2026-09-21
	Rep	Dealing in securities	2020-11-12	2026-09-21
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2020-02-17	2020-07-16
	Rep	Dealing in securities	2020-02-17	2020-07-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2018-04-09	2020-01-24
	Rep	Dealing in securities	2018-04-09	2020-01-24
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2007-07-04	2010-11-12
	Rep	Dealing in securities	2007-07-04	2010-11-12