Personnel Hong Kong SFC License Details (ID 1907470)

Personnel Hong Kong SFC License Details (ID 1907470)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2025-09-25	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2014-08-12	2023-09-01
	Rep	Dealing in securities	2014-08-12	2023-09-01
BOCI SECURITIES LIMITED	Rep	Advising on securities	2013-06-06	2014-07-26
	Rep	Dealing in securities	2013-06-06	2014-07-26
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2013-01-18	2013-05-10
	Rep	Asset management	2013-01-18	2013-05-10
	Rep	Dealing in securities	2013-01-18	2013-05-10
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2013-01-18	2013-05-10
	Rep	Asset management	2013-01-18	2013-05-10
	Rep	Dealing in securities	2013-01-18	2013-05-10
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2012-06-07	2012-10-25