Personnel Hong Kong SFC License Details (ID 134560)

Personnel Hong Kong SFC License Details (ID 134560)

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
Barrenjoey Asia Limited	RO	Advising on securities	2024-03-19	-
	RO	Dealing in securities	2024-03-19	-
	Rep	Advising on securities	2022-12-08	2024-03-19
	Rep	Dealing in securities	2022-12-08	2024-03-19
CLSA LIMITED	Rep	Dealing in securities	2016-06-22	2020-06-01
Jefferies Hong Kong Limited	Rep	Dealing in securities	2014-05-16	2016-03-23
Argonaut Securities (Asia) Limited	RO	Advising on securities	2012-07-26	2013-10-04
	RO	Dealing in securities	2012-07-26	2013-10-04
	Rep	Dealing in securities	2011-12-06	2012-07-26