Personnel Hong Kong SFC License Details (ID 69863)

Personnel Hong Kong SFC License Details (ID 69863)

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
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2026-06-25	-
	RO	Advising on corporate finance	2024-12-10	-
	RO	Dealing in securities	2024-12-10	-
	Rep	Advising on corporate finance	2024-11-11	2024-12-10
	Rep	Dealing in securities	2024-11-11	2024-12-10
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2022-06-13	2023-05-24
	RO	Dealing in securities	2022-06-13	2023-05-24
	Rep	Advising on corporate finance	2017-09-25	2022-06-13
	Rep	Dealing in securities	2017-09-25	2022-06-13
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2016-03-22	2017-08-10
	Rep	Advising on securities	2016-03-22	2017-08-10
	Rep	Dealing in securities	2016-03-22	2017-08-10
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2014-08-25	2015-10-27
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2009-07-13	2014-06-20
	Rep	Dealing in securities	2009-07-13	2014-06-20