Personnel Hong Kong SFC License Details (ID 2656753)

Personnel Hong Kong SFC License Details (ID 2656753)

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
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Advising on securities	2022-06-21	-
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2021-11-01	-
	RO	Asset management	2021-11-01	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2021-11-01	-
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on futures contracts	2021-11-01	-
	RO	Advising on securities	2021-11-01	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	RO	Advising on corporate finance	2021-06-25	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2021-06-25	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2021-02-02	2021-06-25
	RO	Advising on securities	2020-02-20	-
	RO	Dealing in securities	2020-02-20	-
	RO	Advising on corporate finance	2020-02-20	2021-02-02
	Rep	Advising on corporate finance	2019-06-28	2020-02-20
	Rep	Advising on securities	2019-06-28	2020-02-20
	Rep	Dealing in securities	2019-06-28	2020-02-20
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2016-11-10	2019-06-15
	Rep	Advising on securities	2016-11-10	2019-06-15
CLSA LIMITED	Rep	Advising on securities	2016-11-10	2019-06-15
	Rep	Dealing in securities	2016-11-10	2019-06-15