Personnel Hong Kong SFC License Details (ID 2109871)

Personnel Hong Kong SFC License Details (ID 2109871)

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
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2026-04-29	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-11-02	2023-08-08
	Rep	Advising on securities	2021-11-02	2023-08-08
	Rep	Dealing in securities	2021-11-02	2023-08-08
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-24	2021-08-31
	Rep	Advising on securities	2015-04-24	2021-08-31
CLSA LIMITED	Rep	Dealing in securities	2015-04-24	2021-08-31
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2013-08-01	2016-01-13
	Rep	Advising on securities	2013-08-01	2016-01-13
	Rep	Dealing in securities	2013-08-01	2016-01-13