Personnel Hong Kong SFC License Details (ID 2258350)

Personnel Hong Kong SFC License Details (ID 2258350)

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	2018-06-04	2022-01-07
	Rep	Advising on securities	2018-06-04	2022-01-07
CLSA LIMITED	Rep	Advising on securities	2018-06-04	2021-07-22
	Rep	Dealing in securities	2018-06-04	2022-01-07
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2017-05-06
	Rep	Advising on corporate finance	2015-05-28	2016-12-18
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	2014-04-14	2015-03-31
	Rep	Dealing in securities	2014-04-14	2015-03-31
Macquarie Corporate (Hong Kong) Limited	Rep	Advising on corporate finance	2014-04-14	2015-03-31