Personnel Hong Kong SFC License Details (ID 22353792)

Personnel Hong Kong SFC License Details (ID 22353792)

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	2022-06-17	-
	Rep	Advising on securities	2022-06-17	-
CLSA LIMITED	Rep	Dealing in securities	2021-04-09	-
	Rep	Advising on securities	2021-04-09	2022-06-17
Vanguard Investments Hong Kong Limited	Rep	Advising on securities	2019-05-16	2020-08-21
	Rep	Dealing in securities	2019-05-16	2020-08-21
ICBC UBS Asset Management (International) Company Limited	Rep	Advising on securities	2018-10-25	2019-04-30
	Rep	Asset management	2018-10-25	2019-04-30
	Rep	Dealing in securities	2018-10-25	2019-04-30