Personnel Hong Kong SFC License Details (ID 70758)

Personnel Hong Kong SFC License Details (ID 70758)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2025-10-20	-
	RO	Advising on securities	2025-10-20	-
CLSA LIMITED	RO	Dealing in securities	2025-10-20	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2025-09-10	2025-10-20
	Rep	Advising on securities	2025-09-10	2025-10-20
CLSA LIMITED	Rep	Dealing in securities	2025-09-10	2025-10-20
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2021-02-01	2023-10-15
	RO	Advising on securities	2021-02-01	2023-10-15
	RO	Dealing in securities	2021-02-01	2023-10-15
	Rep	Advising on corporate finance	2013-12-16	2021-02-01
	Rep	Advising on securities	2013-12-16	2021-02-01
	Rep	Dealing in securities	2013-12-16	2021-02-01
BOCI ASIA LIMITED	Rep	Dealing in securities	2010-08-09	2012-10-31
	Rep	Advising on corporate finance	2010-08-09	2013-11-02