Personnel Hong Kong SFC License Details (ID 69463)

Personnel Hong Kong SFC License Details (ID 69463)

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
BTIG Hong Kong Limited	Rep	Dealing in securities	2021-07-26	2025-02-06
Quintus Partners Limited	RO	Advising on corporate finance	2015-06-12	2020-02-07
	RO	Dealing in securities	2015-06-12	2020-02-07
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2011-03-18	2014-03-31
	RO	Dealing in securities	2011-03-18	2014-03-31
	Rep	Advising on corporate finance	2010-09-07	2011-03-18
	Rep	Dealing in securities	2010-09-07	2011-03-18
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2007-01-05	2010-06-07
	RO	Dealing in securities	2007-01-05	2010-06-07
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Advising on corporate finance	-	2007-01-05
	Rep	Dealing in securities	-	2007-01-05