Personnel Hong Kong SFC License Details (ID 22325999)

Personnel Hong Kong SFC License Details (ID 22325999)

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 (Hong Kong) Limited	Rep	Advising on corporate finance	2019-07-08	2020-08-31
	Rep	Advising on securities	2019-07-08	2020-08-31
CLSA LIMITED	Rep	Advising on securities	2019-07-08	2020-08-31
	Rep	Dealing in securities	2019-07-08	2020-08-31
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-10-18	2019-05-23
	Rep	Advising on securities	2018-10-18	2019-05-23
CLSA LIMITED	Rep	Advising on securities	2018-10-18	2019-05-23
	Rep	Dealing in securities	2018-10-18	2019-05-23