Personnel Hong Kong SFC License Details (ID 71948)

Personnel Hong Kong SFC License Details (ID 71948)

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
ALETHEIA TECHNOLOGIES LIMITED (HK)	Rep	Advising on securities	2014-03-21	2015-04-13
BTIG Hong Kong Limited	Rep	Dealing in securities	2011-01-12	2014-01-29
CLSA LIMITED	Rep	Dealing in securities	2008-09-18	2008-11-24
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-01-03	2005-11-14
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	-	2003-05-20
	Rep	Advising on securities	-	2003-05-20
	Rep	Asset management	-	2003-05-20
	Rep	Dealing in securities	-	2003-05-20