Personnel Hong Kong SFC License Details (ID 12784227)

Personnel Hong Kong SFC License Details (ID 12784227)

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	2026-03-27	-
	Rep	Advising on securities	2026-02-12	-
	Rep	Advising on corporate finance	2026-02-12	2026-03-27
CLSA LIMITED	Rep	Dealing in securities	2026-02-12	-
CMBC International Capital Limited	RO	Advising on corporate finance	2025-09-23	2025-12-13
	Rep	Advising on corporate finance	2021-08-03	2025-09-23
	Rep	Dealing in securities	2021-08-03	2025-12-13
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2021-08-03	2025-12-13
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2018-02-13	2021-07-16
	Rep	Advising on securities	2018-02-13	2021-07-16
	Rep	Dealing in securities	2018-02-13	2021-07-16