Personnel Hong Kong SFC License Details (ID 1907515)

Personnel Hong Kong SFC License Details (ID 1907515)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2018-09-18	-
	Rep	Advising on corporate finance	2018-09-12	-
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2014-10-17	2018-08-03
Canaccord Genuity (Hong Kong) Limited	Rep	Advising on corporate finance	2014-04-30	2014-08-29
	Rep	Advising on securities	2013-05-15	2014-08-29
	Rep	Dealing in securities	2013-05-15	2014-08-29
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2012-06-07	2012-07-26