Personnel Hong Kong SFC License Details (ID 1941833)

Personnel Hong Kong SFC License Details (ID 1941833)

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
ROC Partners (HK) Limited	RO	Advising on securities	2026-04-08	-
	RO	Dealing in securities	2026-04-08	-
	Rep	Asset management	2020-08-28	2022-07-19
	Rep	Advising on securities	2020-08-28	2026-04-08
	Rep	Dealing in securities	2020-08-28	2026-04-08
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2016-02-23	2017-08-02
	Rep	Advising on securities	2016-02-23	2017-08-02
	Rep	Dealing in securities	2016-02-23	2017-08-02
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2012-08-20	2014-09-19
	Rep	Dealing in securities	2012-08-20	2014-09-19