Personnel Hong Kong SFC License Details (ID 2628823)

Personnel Hong Kong SFC License Details (ID 2628823)

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
Equities First Holdings Hong Kong Limited	Rep	Dealing in securities	2024-02-27	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2022-05-18	2024-02-13
	Rep	Advising on securities	2022-05-18	2024-02-13
CLSA LIMITED	Rep	Dealing in securities	2022-05-18	2024-02-13
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2019-09-30	2021-04-28
	RO	Advising on securities	2019-09-30	2021-04-28
	RO	Dealing in securities	2019-09-30	2021-04-28
	Rep	Advising on corporate finance	2017-05-05	2019-09-30
	Rep	Advising on securities	2017-05-05	2019-09-30
	Rep	Dealing in securities	2017-05-05	2019-09-30
	Rep	Advising on corporate finance	2016-09-05	2017-04-20
	Rep	Advising on securities	2016-09-05	2017-04-20
	Rep	Dealing in securities	2016-09-05	2017-04-20