Personnel Hong Kong SFC License Details (ID 69461)

Personnel Hong Kong SFC License Details (ID 69461)

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
HSBC Corporate Finance (Hong Kong) Limited	RO	Advising on corporate finance	2022-05-16	2025-03-31
Hodes Weill Asia Limited	RO	Dealing in securities	2016-04-27	2021-07-31
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2010-01-13	2014-05-15
	RO	Dealing in securities	2010-01-13	2014-05-15
	Rep	Advising on corporate finance	2009-09-17	2010-01-13
	Rep	Dealing in securities	2009-09-17	2010-01-13
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2006-12-15	2009-09-06
	RO	Dealing in securities	2006-12-15	2009-09-06
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Advising on corporate finance	-	2006-12-15
	Rep	Dealing in securities	-	2006-12-15