Personnel Hong Kong SFC License Details (ID 126538)

Personnel Hong Kong SFC License Details (ID 126538)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2020-12-11	2025-06-30
	Rep	Asset management	2020-12-11	2025-06-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2020-12-11	2025-06-30
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2015-01-28	2016-09-22
HARMONY ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2013-03-04	2014-08-11
	Rep	Asset management	2013-03-04	2014-08-11
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2008-09-01	2010-09-15
	Rep	Dealing in securities	2008-09-01	2010-09-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2008-09-01	2010-09-15