Personnel Hong Kong SFC License Details (ID 2109869)

Personnel Hong Kong SFC License Details (ID 2109869)

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
BAI Capital HK Management Limited	Rep	Asset management	2026-09-22	-
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2021-03-31	2023-03-08
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-07-09	2020-12-22
	Rep	Advising on securities	2018-07-09	2020-12-22
CLSA LIMITED	Rep	Advising on securities	2018-07-09	2020-12-22
	Rep	Dealing in securities	2018-07-09	2020-12-22
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2014-11-03	2018-06-29
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2013-08-01	2014-10-17
	Rep	Advising on securities	2013-08-01	2014-10-17
	Rep	Dealing in securities	2013-08-01	2014-10-17