Personnel Hong Kong SFC License Details (ID 2420687)

Personnel Hong Kong SFC License Details (ID 2420687)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2026-09-02	-
	Rep	Advising on securities	2026-09-02	-
	Rep	Dealing in securities	2026-09-02	-
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2023-10-05	2026-04-24
	Rep	Dealing in securities	2023-10-05	2026-04-24
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2023-10-05	2026-04-24
	Rep	Dealing in securities	2023-10-05	2026-04-24
China Renaissance Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2021-11-25	2023-06-26
	Rep	Advising on securities	2021-11-25	2023-06-26
	Rep	Dealing in securities	2021-11-25	2023-06-26
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2020-08-24	2021-11-10
	Rep	Advising on securities	2020-08-24	2021-11-10
	Rep	Dealing in securities	2020-08-24	2021-11-10
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-10-26	2020-05-11
	Rep	Advising on securities	2017-10-26	2020-05-11
CLSA LIMITED	Rep	Advising on securities	2017-10-26	2020-05-11
	Rep	Dealing in securities	2017-10-26	2020-05-11
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2015-05-14	2017-09-05
	Rep	Dealing in securities	2015-05-14	2017-09-05