Personnel Hong Kong SFC License Details (ID 70458)

Personnel Hong Kong SFC License Details (ID 70458)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	2026-08-18	-
	Rep	Advising on corporate finance	2026-02-13	2026-08-18
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2021-09-08	2025-04-25
	RO	Dealing in securities	2021-09-08	2025-04-25
	Rep	Advising on corporate finance	2017-08-22	2021-09-08
	Rep	Dealing in securities	2017-08-22	2021-09-08
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-24	2017-07-26
	Rep	Advising on securities	2015-04-24	2017-07-26
CLSA LIMITED	Rep	Dealing in securities	2015-04-24	2017-07-26
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2014-09-11	2016-01-01
	Rep	Advising on securities	2014-09-11	2016-01-01
	Rep	Dealing in securities	2014-09-11	2016-01-01
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2010-06-24	2011-11-18