Personnel Hong Kong SFC License Details (ID 1971983)

Personnel Hong Kong SFC License Details (ID 1971983)

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
CITIC Securities International Global Markets Limited	RO	Advising on securities	2025-07-10	-
CITIC Securities Asset Management (HK) Limited	RO	Dealing in futures contracts	2025-05-30	-
	RO	Dealing in securities	2023-02-01	-
	RO	Advising on securities	2022-11-04	-
	RO	Asset management	2022-11-04	-
	Rep	Advising on securities	2022-07-11	2022-11-04
	Rep	Asset management	2022-07-11	2022-11-04
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2019-10-09	-
CLSA LIMITED	RO	Dealing in securities	2019-10-09	2020-05-06
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2018-08-14	-
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2018-08-14	-
CITIC Securities International Global Markets Limited	RO	Dealing in futures contracts	2018-01-29	-
	RO	Dealing in securities	2018-01-29	-
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2017-07-17	2018-01-30
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2017-06-26	2018-01-29
	Rep	Dealing in securities	2017-06-26	2018-01-29
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2013-04-18	2017-07-17
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2012-10-29	2017-06-25