Personnel Hong Kong SFC License Details (ID 70815)

Personnel Hong Kong SFC License Details (ID 70815)

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
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2010-09-13	2014-09-01
	Rep	Dealing in securities	2010-09-13	2014-09-01
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2010-09-13	2014-09-01
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2009-11-27	2010-06-25
	Rep	Advising on securities	2009-11-27	2010-06-25
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2007-08-13	2008-12-15
	Rep	Advising on securities	2007-08-13	2008-12-15
	Rep	Dealing in securities	2007-08-13	2008-12-15