Personnel Hong Kong SFC License Details (ID 1861278)

Personnel Hong Kong SFC License Details (ID 1861278)

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	Rep	Advising on corporate finance	2025-06-13	-
	Rep	Advising on securities	2025-06-13	-
CLSA LIMITED	Rep	Dealing in securities	2025-06-13	-
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2018-11-02	2023-03-02
	Rep	Advising on securities	2018-11-02	2023-03-02
	Rep	Dealing in securities	2018-11-02	2023-03-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2018-11-02	2023-03-02
	Rep	Advising on securities	2018-11-02	2023-03-02
	Rep	Dealing in securities	2018-11-02	2023-03-02
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2016-08-23	2018-10-19
	Rep	Advising on corporate finance	2012-03-05	2015-10-24