Personnel Hong Kong SFC License Details (ID 22985209)

Personnel Hong Kong SFC License Details (ID 22985209)

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 CFI Securities Company Limited	Rep	Dealing in securities	2026-06-17	-
CITIC Futures International Company Limited	Rep	Dealing in futures contracts	2026-06-17	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2021-11-05	2023-04-25
	Rep	Advising on securities	2021-11-05	2023-04-25
	Rep	Dealing in securities	2021-11-05	2023-04-25
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2019-11-04	2021-10-15
BOCI SECURITIES LIMITED	Rep	Advising on securities	2019-11-04	2021-10-15
BOCI ASIA LIMITED	Rep	Dealing in securities	2019-10-22	2021-10-15
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2019-10-22	2021-10-15
KGI ASIA LIMITED	Rep	Dealing in securities	2019-04-02	2019-09-28