Personnel Hong Kong SFC License Details (ID 69840)

Personnel Hong Kong SFC License Details (ID 69840)

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
Wells Fargo Securities Asia Limited	Rep	Advising on corporate finance	2020-12-15	2021-01-08
	Rep	Advising on securities	2020-12-15	2021-01-08
	Rep	Dealing in securities	2020-12-15	2021-01-08
	RO	Advising on corporate finance	2015-07-20	2020-12-15
	RO	Advising on securities	2015-07-20	2020-12-15
	RO	Dealing in securities	2015-07-20	2020-12-15
	Rep	Advising on corporate finance	2014-12-09	2015-07-20
	Rep	Advising on securities	2014-12-09	2015-07-20
	Rep	Dealing in securities	2014-12-09	2015-07-20
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2014-07-17	2014-08-14
	RO	Dealing in securities	2014-07-17	2014-08-14
	Rep	Advising on corporate finance	2010-11-09	2014-07-17
	Rep	Dealing in securities	2010-11-09	2014-07-17
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2008-04-07	2010-09-01
	Rep	Dealing in securities	2008-04-07	2010-09-01