Personnel Hong Kong SFC License Details (ID 2489268)

Personnel Hong Kong SFC License Details (ID 2489268)

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
CMBC SECURITIES COMPANY LIMITED	RO	Advising on securities	2021-04-15	-
	RO	Dealing in securities	2021-04-15	-
CMBC International Capital Limited	Rep	Advising on corporate finance	2021-02-18	2024-05-14
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Asset management	2019-09-30	2021-02-18
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2019-09-30	2021-04-15
	Rep	Dealing in securities	2019-09-30	2021-04-15
CTI Capital Hong Kong Limited	Rep	Dealing in securities	2016-08-15	2019-08-13
	Rep	Advising on securities	2015-10-22	2019-08-13
	Rep	Asset management	2015-10-22	2019-08-13