Personnel Hong Kong SFC License Details (ID 2359353)

Personnel Hong Kong SFC License Details (ID 2359353)

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 Brokerage (HK) Limited	RO	Dealing in securities	2025-08-13	-
CLSA LIMITED	RO	Dealing in securities	2025-08-13	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-04-24	2015-11-01
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-04-24	2015-11-01
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2015-02-25	2015-04-23
CLSA LIMITED	Rep	Dealing in securities	2015-02-25	2015-04-23
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2014-12-15	2015-02-23
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2014-12-15	2015-02-23