Personnel Hong Kong SFC License Details (ID 1909607)

Personnel Hong Kong SFC License Details (ID 1909607)

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
SFUND INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-07-07	-
	RO	Asset management	2021-07-07	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-08-29	2018-12-01
	Rep	Advising on securities	2017-08-29	2018-12-01
CLSA LIMITED	Rep	Advising on securities	2017-08-29	2018-12-01
	Rep	Dealing in securities	2017-08-29	2018-12-01
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2015-11-13	2017-06-02
	Rep	Dealing in securities	2015-11-13	2017-06-02
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2012-06-12	2015-03-05
	Rep	Asset management	2012-06-12	2015-03-05