Personnel Hong Kong SFC License Details (ID 69658)

Personnel Hong Kong SFC License Details (ID 69658)

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
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2025-11-12	-
	Rep	Dealing in securities	2025-11-12	-
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2019-08-22	2024-12-02
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2018-09-17	2019-04-30
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2014-11-24	2015-07-30
	Rep	Dealing in securities	2014-11-24	2015-07-30
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2011-08-10	2014-06-03
	Rep	Dealing in securities	2011-08-10	2014-06-03