Personnel Hong Kong SFC License Details (ID 2083261)

Personnel Hong Kong SFC License Details (ID 2083261)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2019-06-06	2020-02-29
	Rep	Advising on securities	2019-06-06	2020-02-29
	Rep	Dealing in securities	2019-06-06	2020-02-29
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-23	2019-03-12
	Rep	Advising on securities	2015-04-23	2019-03-12
CLSA LIMITED	Rep	Dealing in securities	2015-04-23	2019-03-12
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2013-06-11	2016-01-01
	Rep	Advising on securities	2013-06-11	2016-01-01
	Rep	Dealing in securities	2013-06-11	2016-01-01