Personnel Hong Kong SFC License Details (ID 2455328)

Personnel Hong Kong SFC License Details (ID 2455328)

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
BOCI RESEARCH LIMITED	Rep	Advising on securities	2020-11-12	2023-12-27
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2019-10-16	2020-09-16
ICBC INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2019-02-18	2019-09-12
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2015-10-05	2019-01-15
Jefferies Hong Kong Limited	Rep	Advising on securities	2015-09-04	2015-09-23
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2015-07-29	2015-08-27