Personnel Hong Kong SFC License Details (ID 2245744)

Personnel Hong Kong SFC License Details (ID 2245744)

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	2020-12-21	2025-06-30
	Rep	Advising on securities	2020-12-21	2025-06-30
CLSA LIMITED	Rep	Advising on securities	2020-12-21	2021-07-22
	Rep	Dealing in securities	2020-12-21	2025-06-30
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2018-08-30	2020-11-10
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-09-11	2020-11-10
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2016-11-15	2020-11-10
	Rep	Dealing in securities	2016-11-15	2020-11-10
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2016-08-19	2016-10-19
	Rep	Dealing in securities	2016-08-19	2016-10-19
	Rep	Asset management	2014-03-31	2016-10-19