Personnel Hong Kong SFC License Details (ID 133073)

Personnel Hong Kong SFC License Details (ID 133073)

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
LAZARD ASIA (HONG KONG) LIMITED	RO	Advising on corporate finance	2021-12-29	2023-07-25
	Rep	Advising on corporate finance	2021-11-18	2021-12-29
	Rep	Advising on securities	2021-11-18	2023-07-25
	Rep	Dealing in securities	2021-11-18	2023-07-25
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2020-02-07	2021-10-28
	Rep	Advising on securities	2019-10-24	2021-10-28
	Rep	Dealing in securities	2019-10-24	2021-10-28
	Rep	Advising on corporate finance	2019-09-25	2020-02-07
ANGLO CHINESE CORPORATE FINANCE, LIMITED	RO	Advising on corporate finance	2017-09-20	2019-08-16
	Rep	Advising on corporate finance	2016-11-10	2017-09-20
	Rep	Advising on securities	2016-11-10	2018-02-14
	Rep	Asset management	2016-11-10	2018-02-14
	Rep	Dealing in securities	2016-11-10	2018-02-14
	Rep	Advising on corporate finance	2011-10-27	2014-03-14