Personnel Hong Kong SFC License Details (ID 2383996)

Personnel Hong Kong SFC License Details (ID 2383996)

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 (Hong Kong) Limited	Rep	Advising on corporate finance	2016-11-15	2025-12-31
	Rep	Advising on securities	2016-11-15	2025-12-31
CLSA LIMITED	Rep	Advising on securities	2016-11-15	2021-07-22
	Rep	Dealing in securities	2016-11-15	2025-12-31
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2016-01-18	2016-11-04
	Rep	Advising on securities	2016-01-18	2016-11-04
	Rep	Dealing in securities	2016-01-18	2016-11-04
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2015-02-12	2015-11-18
	Rep	Advising on securities	2015-02-12	2015-11-18
	Rep	Dealing in securities	2015-02-12	2015-11-18