Personnel Hong Kong SFC License Details (ID 2309503)

Personnel Hong Kong SFC License Details (ID 2309503)

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
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2017-01-16	2017-09-15
	Rep	Advising on securities	2017-01-16	2017-09-15
	Rep	Dealing in securities	2017-01-16	2017-09-15
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-23	2016-12-01
	Rep	Advising on securities	2015-04-23	2016-12-01
CLSA LIMITED	Rep	Dealing in securities	2015-04-23	2016-12-01
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2014-08-19	2016-01-01
	Rep	Advising on securities	2014-08-19	2016-01-01
	Rep	Dealing in securities	2014-08-19	2016-01-01