Personnel Hong Kong SFC License Details (ID 69842)

Personnel Hong Kong SFC License Details (ID 69842)

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
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2016-01-08	2018-03-16
	Rep	Dealing in securities	2015-05-07	2018-03-16
BOCOM International Securities Limited	Rep	Advising on securities	2015-05-07	2018-03-16
	Rep	Dealing in securities	2015-05-07	2018-03-16
MCM ASIA LIMITED (TRADING AS MCM PARTNERS) (	RO	Dealing in securities	2015-03-04	2015-03-25
	Rep	Dealing in securities	2014-05-07	2015-03-04
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2013-10-25	2014-04-17
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2010-08-13	2012-03-22
CICC US Securities, Inc.	Rep	Dealing in securities	2007-08-06	2010-05-21
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2006-07-04	2010-05-21