Personnel Hong Kong SFC License Details (ID 49491)

Personnel Hong Kong SFC License Details (ID 49491)

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
Citigroup Global Markets Asia Limited	RO	Advising on corporate finance	2018-11-21	2023-11-30
	Rep	Advising on corporate finance	2017-09-21	2018-11-21
	Rep	Dealing in securities	2017-09-21	2023-11-30
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2017-06-23
	Rep	Advising on corporate finance	2014-09-15	2016-12-18
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2013-10-18	2014-06-30
	RO	Advising on corporate finance	2009-10-30	2014-06-30
	RO	Dealing in securities	2008-09-02	2009-10-30
	Rep	Dealing in securities	2007-04-20	2008-09-02
CHINA INTERNATIONAL CAPITAL CORPORATION (INTERNATIONAL) LIMITED	Rep	Dealing in securities	2004-05-12	2008-12-31