Personnel Hong Kong SFC License Details (ID 22369369)

Personnel Hong Kong SFC License Details (ID 22369369)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Dealing in securities	2025-01-13	2025-09-26
	Rep	Advising on securities	2025-01-13	2026-03-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2023-12-13	2024-12-31
	Rep	Dealing in securities	2023-12-13	2024-12-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2022-06-29	2023-01-12
	Rep	Dealing in securities	2022-06-29	2023-01-12
	Rep	Advising on securities	2018-10-30	2022-01-29
	Rep	Dealing in securities	2018-10-30	2022-01-29