Personnel Hong Kong SFC License Details (ID 70756)

Personnel Hong Kong SFC License Details (ID 70756)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2026-02-09	-
	RO	Advising on securities	2026-02-09	-
	RO	Dealing in securities	2026-02-09	-
	Rep	Advising on corporate finance	2025-11-13	2026-02-09
	Rep	Advising on securities	2025-11-13	2026-02-09
	Rep	Dealing in securities	2025-11-13	2026-02-09
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2021-10-21	2025-09-11
	RO	Advising on securities	2021-10-21	2025-09-11
CLSA LIMITED	RO	Dealing in securities	2021-10-21	2025-09-11
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-09-12	2021-10-21
	Rep	Advising on securities	2017-09-12	2021-10-21
CLSA LIMITED	Rep	Advising on securities	2017-09-12	2021-07-20
	Rep	Dealing in securities	2017-09-12	2021-10-21
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2012-08-08	2017-09-01
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2010-05-14	2012-07-01
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-01-18	2010-05-01