Personnel Hong Kong SFC License Details (ID 72255)

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
SPDB International Capital Limited	RO	Advising on corporate finance	2022-01-25	-
	RO	Dealing in securities	2022-01-25	-
	Rep	Advising on corporate finance	2021-06-02	2022-01-25
	Rep	Dealing in securities	2021-06-02	2022-01-25
Silk Road International Capital Limited	RO	Advising on corporate finance	2019-01-18	2021-04-30
	RO	Advising on securities	2019-01-18	2021-04-30
	RO	Dealing in securities	2019-01-18	2021-04-30
	Rep	Advising on corporate finance	2018-09-27	2019-01-18
	Rep	Advising on securities	2018-09-27	2019-01-18
	Rep	Dealing in securities	2018-09-27	2019-01-18
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2015-04-23	2018-08-30
	RO	Advising on securities	2015-04-23	2018-08-30
CLSA LIMITED	RO	Dealing in securities	2015-04-23	2018-08-30
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on corporate finance	2012-09-21	2016-01-01
	RO	Advising on securities	2012-09-21	2016-01-01
	RO	Dealing in securities	2012-09-21	2016-01-01
	Rep	Advising on corporate finance	2012-07-04	2012-09-21
	Rep	Advising on securities	2012-07-04	2012-09-21
	Rep	Dealing in securities	2012-07-04	2012-09-21
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2010-06-28	2012-07-03
	Rep	Dealing in securities	2009-12-23	2012-07-03
	Rep	Advising on corporate finance	2009-08-28	2010-06-28
CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2009-05-22	2009-07-22
	Rep	Advising on corporate finance	2009-05-12	2009-05-22
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-15	2009-05-08
	RO	Advising on corporate finance	2006-12-28	2009-05-08
	Rep	Dealing in securities	2006-12-28	2009-05-08
	Rep	Advising on corporate finance	2006-10-27	2006-12-28
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2004-10-08	2006-10-13
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-09-28