Personnel Hong Kong SFC License Details (ID 1941825)

Personnel Hong Kong SFC License Details (ID 1941825)

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
MUFG Securities Asia Limited	Rep	Advising on corporate finance	2025-01-02	-
	Rep	Dealing in securities	2025-01-02	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2017-11-09	2023-08-15
	Rep	Advising on securities	2017-11-09	2023-08-15
	Rep	Dealing in securities	2017-11-09	2023-08-15
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2015-04-01	2017-10-13
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2014-08-21	2017-10-13
	Rep	Dealing in securities	2014-08-21	2017-10-13
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2012-08-20	2014-06-03
	Rep	Dealing in securities	2012-08-20	2014-06-03