Personnel Hong Kong SFC License Details (ID 2300812)

Personnel Hong Kong SFC License Details (ID 2300812)

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
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2023-12-06	-
	Rep	Advising on securities	2023-12-06	-
	Rep	Dealing in securities	2023-12-06	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2019-02-04	2023-10-31
	Rep	Dealing in securities	2019-01-30	2023-10-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-08-01	2018-09-19
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2014-08-01	2014-12-31
	Rep	Asset management	2014-08-01	2014-12-31
	Rep	Dealing in securities	2014-08-01	2014-12-31
BlackRock Asset Management North Asia Limited	Rep	Asset management	2014-08-01	2015-08-31
	Rep	Advising on securities	2014-08-01	2018-06-15
	Rep	Dealing in securities	2014-08-01	2018-06-15