Personnel Hong Kong SFC License Details (ID 70764)

Personnel Hong Kong SFC License Details (ID 70764)

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	2021-12-22	-
	Rep	Advising on securities	2021-11-19	-
	Rep	Advising on corporate finance	2021-10-19	2021-12-22
CLSA LIMITED	Rep	Dealing in securities	2021-10-19	-
BOCI ASIA LIMITED	Rep	Dealing in securities	2021-01-13	2021-09-24
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2021-01-13	2021-09-24
BOCI ASIA LIMITED	RO	Advising on corporate finance	2017-09-04	2021-09-24
	Rep	Advising on corporate finance	2010-10-07	2017-09-04
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2009-04-09	2010-09-03
	Rep	Dealing in securities	2009-04-09	2010-09-03
ICEA CAPITAL LIMITED	Rep	Dealing in securities	2007-11-22	2009-04-01
ICEA CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2007-10-18	2008-09-30
ICEA CAPITAL LIMITED	Rep	Advising on corporate finance	2007-10-18	2009-04-01
MEGA CAPITAL (ASIA) COMPANY LIMITED	Rep	Advising on corporate finance	2004-10-20	2007-09-30