Personnel Hong Kong SFC License Details (ID 1853265)

Personnel Hong Kong SFC License Details (ID 1853265)

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	2025-03-14	-
	RO	Advising on securities	2025-03-14	-
CLSA LIMITED	RO	Dealing in securities	2025-03-14	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-08-03	2025-03-14
	Rep	Advising on securities	2015-08-03	2025-03-14
CLSA LIMITED	Rep	Advising on securities	2015-08-03	2021-07-20
	Rep	Dealing in securities	2015-08-03	2025-03-14
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2014-09-30	2015-08-02
	Rep	Advising on securities	2014-09-30	2015-08-02
	Rep	Dealing in securities	2014-09-30	2015-08-02
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2012-02-15	2014-09-01