Personnel Hong Kong SFC License Details (ID 123887)

Personnel Hong Kong SFC License Details (ID 123887)

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 (Hong Kong) Limited	RO	Advising on corporate finance	2022-11-24	-
	RO	Advising on securities	2022-11-24	-
CLSA LIMITED	RO	Dealing in securities	2022-11-24	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2022-03-21	2022-11-24
	Rep	Advising on securities	2022-03-21	2022-11-24
CLSA LIMITED	Rep	Dealing in securities	2022-03-21	2022-11-24
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2008-01-02	2008-05-16
	Rep	Advising on securities	2008-01-02	2008-05-16
	Rep	Dealing in securities	2008-01-02	2008-05-16