Personnel Hong Kong SFC License Details (ID 2349831)

Personnel Hong Kong SFC License Details (ID 2349831)

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
CMB International Global Markets Limited	RO	Dealing in securities	2022-11-08	2026-07-10
CMB International Securities Limited	RO	Dealing in securities	2022-11-08	2026-07-10
CMB International Global Markets Limited	Rep	Dealing in securities	2022-06-17	2022-11-08
CMB International Capital Limited	RO	Advising on corporate finance	2021-12-06	2026-07-10
	RO	Dealing in securities	2021-12-06	2026-07-10
CMB International Securities Limited	Rep	Dealing in securities	2019-08-23	2022-11-08
CMB International Capital Limited	Rep	Advising on corporate finance	2019-04-23	2021-12-06
	Rep	Dealing in securities	2019-04-23	2021-12-06
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2018-09-14	2019-03-01
	Rep	Advising on securities	2018-09-14	2019-03-01
	Rep	Dealing in securities	2018-09-14	2019-03-01
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2014-11-24	2017-07-14
	Rep	Advising on securities	2014-11-24	2017-07-14
	Rep	Dealing in securities	2014-11-24	2017-07-14