Personnel Hong Kong SFC License Details (ID 1907519)

Personnel Hong Kong SFC License Details (ID 1907519)

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
CMB International Capital Limited	RO	Advising on corporate finance	2026-04-09	-
	RO	Dealing in securities	2026-04-09	-
ORI Capital Limited	Rep	Asset management	2025-04-24	2025-12-31
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2018-08-09	2023-07-27
	RO	Dealing in securities	2018-08-09	2023-07-27
	Rep	Advising on corporate finance	2018-07-31	2018-08-09
	Rep	Dealing in securities	2018-07-31	2018-08-09
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2016-12-19	2018-05-05
	RO	Advising on corporate finance	2014-07-07	2016-12-18
	Rep	Advising on corporate finance	2012-06-07	2014-07-07