Personnel Hong Kong SFC License Details (ID 135817)

Personnel Hong Kong SFC License Details (ID 135817)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on corporate finance	2026-07-17	-
	RO	Advising on securities	2026-07-17	-
	RO	Dealing in securities	2026-07-17	-
	Rep	Advising on securities	2018-10-04	2026-07-17
	Rep	Dealing in securities	2018-10-04	2026-07-17
	Rep	Advising on corporate finance	2018-10-02	2026-07-17
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2014-06-25	2018-07-20
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2012-01-06	2014-05-29
	Rep	Advising on securities	2012-01-06	2014-05-29
	Rep	Dealing in securities	2012-01-06	2014-05-29