Personnel Hong Kong SFC License Details (ID 2117942)

Personnel Hong Kong SFC License Details (ID 2117942)

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
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2026-07-22	-
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2022-11-08	2026-03-16
	Rep	Advising on corporate finance	2021-11-08	2022-11-08
	Rep	Advising on securities	2021-11-08	2026-03-16
	Rep	Dealing in securities	2021-11-08	2026-03-16
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2021-11-08	2026-03-16
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2021-01-21	2021-02-10
BOCI ASIA LIMITED	RO	Advising on corporate finance	2020-08-13	2020-11-25
	Rep	Advising on corporate finance	2015-10-02	2020-08-13
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2013-08-16	2015-07-17
	Rep	Advising on securities	2013-08-16	2015-07-17
	Rep	Dealing in securities	2013-08-16	2015-07-17