Personnel Hong Kong SFC License Details (ID 70800)

Personnel Hong Kong SFC License Details (ID 70800)

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 securities	2021-10-27	2024-11-18
	RO	Asset management	2021-10-27	2024-11-18
	Rep	Asset management	2021-03-05	2021-10-27
	RO	Advising on corporate finance	2018-08-13	2021-03-05
	RO	Dealing in securities	2018-08-13	2024-11-18
	Rep	Advising on securities	2018-07-30	2021-10-27
	Rep	Advising on corporate finance	2018-03-27	2018-08-13
	Rep	Dealing in securities	2018-03-27	2018-08-13
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2016-10-05	2018-02-28
	Rep	Advising on corporate finance	2012-08-01	2016-10-05
	Rep	Dealing in securities	2012-08-01	2018-02-28
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2008-09-01	2012-06-23
	Rep	Dealing in securities	2008-09-01	2012-06-23