Personnel Hong Kong SFC License Details (ID 2212004)

Personnel Hong Kong SFC License Details (ID 2212004)

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
CITIC Securities International Global Markets Limited	Rep	Dealing in securities	2017-11-15	2021-06-30
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2016-12-02	2018-05-29
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2016-06-29	2018-05-29
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2015-01-12	2016-02-15
CLSA LIMITED	Rep	Dealing in securities	2015-01-12	2020-05-06
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2014-02-26	2015-01-09
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2014-02-26	2015-01-09