Personnel Hong Kong SFC License Details (ID 6710749)

Personnel Hong Kong SFC License Details (ID 6710749)

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	Rep	Advising on corporate finance	2025-08-07	-
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2021-02-09	2021-12-03
	Rep	Dealing in securities	2021-02-09	2021-12-03
CLSA LIMITED	Rep	Advising on securities	2021-02-09	-
	Rep	Dealing in securities	2021-02-09	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-12-11	2021-01-22
	Rep	Advising on securities	2017-12-11	2021-01-22
	Rep	Dealing in securities	2017-12-11	2021-01-22
SPDB International Capital Limited	Rep	Advising on corporate finance	2017-03-28	2017-11-23
	Rep	Dealing in securities	2017-03-28	2017-11-23