Personnel Hong Kong SFC License Details (ID 71215)

Personnel Hong Kong SFC License Details (ID 71215)

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
Mason Securities Limited	RO	Advising on securities	2020-11-05	2021-01-20
	RO	Dealing in securities	2020-11-05	2021-01-20
CEB International Capital Corporation Limited	RO	Advising on securities	2017-03-14	2018-05-03
	RO	Dealing in securities	2016-09-30	2018-05-03
	Rep	Dealing in securities	2016-08-09	2016-09-30
	Rep	Advising on securities	2016-08-09	2017-03-14
RHB SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2016-01-27	2016-07-22
	Rep	Dealing in securities	2015-06-30	2016-01-27
	Rep	Advising on securities	2015-06-30	2016-07-22
BOCI SECURITIES LIMITED	Rep	Advising on securities	2012-04-12	2013-11-20
	Rep	Dealing in securities	2010-04-22	2013-11-20
NATIXIS ASIA LIMITED	Rep	Advising on securities	2007-03-15	2008-12-12
	Rep	Dealing in securities	2007-03-15	2008-12-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-06-29
	Rep	Advising on securities	-	2004-06-29
	Rep	Asset management	-	2004-06-29
	Rep	Dealing in securities	-	2004-06-29