Personnel Hong Kong SFC License Details (ID 22815459)

Personnel Hong Kong SFC License Details (ID 22815459)

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	2020-03-31	2020-08-19
	Rep	Advising on securities	2020-03-31	2020-08-19
CLSA LIMITED	Rep	Advising on securities	2020-03-31	2020-08-19
	Rep	Dealing in securities	2020-03-31	2020-08-19
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-02-25	2020-01-30
	Rep	Advising on securities	2019-02-25	2020-01-30
CLSA LIMITED	Rep	Advising on securities	2019-02-25	2020-01-30
	Rep	Dealing in securities	2019-02-25	2020-01-30