Personnel Hong Kong SFC License Details (ID 2299520)

Personnel Hong Kong SFC License Details (ID 2299520)

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	RO	Advising on corporate finance	2026-08-14	-
	Rep	Advising on securities	2026-08-14	-
CLSA LIMITED	Rep	Dealing in securities	2026-08-14	-
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2021-12-09	2026-06-30
	Rep	Advising on securities	2021-08-17	2026-06-30
	Rep	Dealing in securities	2021-08-17	2026-06-30
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2021-08-17	2026-06-30
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2021-08-02	2021-12-09
Founder Securities (Hong Kong) Capital Company Limited	RO	Advising on corporate finance	2019-12-13	2021-07-19
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2014-07-28	2019-11-15