Personnel Hong Kong SFC License Details (ID 1896205)

Personnel Hong Kong SFC License Details (ID 1896205)

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	2022-09-26	-
CLSA LIMITED	RO	Dealing in securities	2022-09-26	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2019-08-09	-
	Rep	Advising on corporate finance	2019-08-09	2022-09-26
CLSA LIMITED	Rep	Advising on securities	2019-08-09	2021-07-20
	Rep	Dealing in securities	2019-08-09	2022-09-26
MOELIS &AMP; COMPANY ASIA LIMITED	Rep	Advising on corporate finance	2015-11-10	2016-11-18
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2012-05-17	2015-09-26