Personnel Hong Kong SFC License Details (ID 2468964)

Personnel Hong Kong SFC License Details (ID 2468964)

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
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2017-10-23	2024-06-01
	Rep	Asset management	2017-10-23	2024-06-01
	Rep	Dealing in securities	2017-10-23	2024-06-01
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-07-28	2017-09-12
	Rep	Advising on securities	2017-07-28	2017-09-12
CLSA LIMITED	Rep	Advising on securities	2017-07-28	2017-09-12
	Rep	Dealing in securities	2017-07-28	2017-09-12
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2015-08-31	2017-06-12
	Rep	Advising on securities	2015-08-31	2017-06-12
	Rep	Dealing in securities	2015-08-31	2017-06-12