Personnel Hong Kong SFC License Details (ID 125823)

Personnel Hong Kong SFC License Details (ID 125823)

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
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2026-06-29	-
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2018-12-12	2024-07-17
	Rep	Advising on securities	2018-12-12	2024-07-17
	Rep	Dealing in securities	2018-12-12	2024-07-17
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2016-05-04	2018-10-19
	Rep	Advising on securities	2016-05-04	2018-10-19
	Rep	Dealing in securities	2016-05-04	2018-10-19
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2014-05-26	2015-09-15
	Rep	Advising on securities	2014-05-26	2015-09-15
	Rep	Dealing in securities	2014-05-26	2015-09-15
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2014-05-26	2015-09-15
	Rep	Advising on securities	2014-05-26	2015-09-15
	Rep	Dealing in securities	2014-05-26	2015-09-15
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2012-03-05	2014-04-14
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2008-07-21	2010-04-08
	Rep	Advising on securities	2008-07-21	2010-04-08