Personnel Hong Kong SFC License Details (ID 12617598)

Personnel Hong Kong SFC License Details (ID 12617598)

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
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2026-04-28	-
	Rep	Advising on securities	2026-04-28	-
	Rep	Dealing in securities	2026-04-28	-
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2022-02-14	2022-05-12
	Rep	Dealing in securities	2022-02-14	2022-05-12
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-08-23	2021-11-30
	Rep	Advising on securities	2021-08-23	2021-11-30
	Rep	Dealing in securities	2021-08-23	2021-11-30
CMB International Capital Limited	Rep	Dealing in securities	2019-12-11	2020-12-04
	Rep	Advising on corporate finance	2019-10-30	2020-12-04
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2017-12-04	2019-09-13