Personnel Hong Kong SFC License Details (ID 14163356)

Personnel Hong Kong SFC License Details (ID 14163356)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2023-10-30	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-06-22	2023-10-15
	Rep	Advising on securities	2021-06-22	2023-10-15
	Rep	Dealing in securities	2021-06-22	2023-10-15
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2021-01-29	2021-04-30
CLSA LIMITED	Rep	Advising on securities	2021-01-29	2021-04-30
	Rep	Dealing in securities	2021-01-29	2021-04-30
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2020-12-21	2021-04-30
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2018-04-23	2020-11-26