Personnel Hong Kong SFC License Details (ID 23352502)

Personnel Hong Kong SFC License Details (ID 23352502)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2024-06-26	-
	Rep	Dealing in securities	2024-06-26	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2022-02-10	2024-04-29
	Rep	Advising on securities	2021-12-21	2024-04-29
CLSA LIMITED	Rep	Dealing in securities	2021-12-21	2024-04-29
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-08-14	2021-08-06
	Rep	Dealing in securities	2020-08-14	2021-08-06
	Rep	Advising on securities	2019-06-26	2020-01-26
	Rep	Dealing in securities	2019-06-26	2020-01-26