Personnel Hong Kong SFC License Details (ID 2044296)

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
Chinagri Cheung Kong Company Limited	RO	Advising on securities	2021-01-15	-
	RO	Asset management	2021-01-15	-
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2020-01-23	2020-06-30
	Rep	Asset management	2020-01-23	2020-06-30
	RO	Asset management	2019-05-02	2020-01-23
	RO	Advising on securities	2019-02-13	2020-01-23
CMBC SECURITIES COMPANY LIMITED	RO	Dealing in securities	2019-02-13	2020-06-30
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Asset management	2018-11-14	2019-05-02
	Rep	Advising on securities	2018-09-28	2019-02-13
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-09-28	2019-02-13
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	RO	Advising on corporate finance	2017-05-24	2018-09-10
	RO	Advising on securities	2017-05-24	2018-09-10
	RO	Dealing in securities	2017-05-24	2018-09-10
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2017-05-24	2018-09-10
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2016-09-15	2017-05-24
	Rep	Advising on securities	2016-09-15	2017-05-24
	Rep	Dealing in securities	2016-09-15	2017-05-24
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2016-09-15	2017-05-24
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2016-03-09	2016-09-12
	Rep	Dealing in securities	2016-03-09	2016-09-12
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2016-03-09	2016-09-12
	Rep	Dealing in securities	2016-03-09	2016-09-12
NATIXIS ASIA LIMITED	Rep	Advising on securities	2013-04-02	2014-01-08
	Rep	Dealing in securities	2013-04-02	2014-01-08