Personnel Hong Kong SFC License Details (ID 2694299)

Personnel Hong Kong SFC License Details (ID 2694299)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2025-07-09	2026-09-18
	RO	Advising on securities	2025-07-09	2026-09-18
CLSA LIMITED	RO	Dealing in securities	2025-07-09	2026-09-18
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2021-11-17	2025-07-09
CLSA LIMITED	Rep	Dealing in securities	2021-11-17	2025-07-09
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2021-10-22	2025-07-09
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2018-12-21	2021-10-08
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2017-02-08	2018-12-06
	Rep	Advising on securities	2017-02-08	2018-12-06
	Rep	Dealing in securities	2017-02-08	2018-12-06