Personnel Hong Kong SFC License Details (ID 2485375)

Personnel Hong Kong SFC License Details (ID 2485375)

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
SPDB International Investment Management Limited	Rep	Advising on securities	2024-09-05	2026-08-28
	Rep	Asset management	2024-09-05	2026-08-28
SPDB International Capital Limited	Rep	Advising on corporate finance	2021-01-06	2024-07-02
	Rep	Dealing in securities	2021-01-06	2024-07-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-12-29	2020-04-03
	Rep	Advising on securities	2017-12-29	2020-04-03
CLSA LIMITED	Rep	Advising on securities	2017-12-29	2020-04-03
	Rep	Dealing in securities	2017-12-29	2020-04-03
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Advising on corporate finance	2016-12-07	2017-11-17
	Rep	Dealing in securities	2016-12-07	2017-11-17
AMPLE CAPITAL LIMITED	Rep	Advising on corporate finance	2016-08-25	2016-10-01
	Rep	Advising on corporate finance	2015-10-12	2016-04-12