Personnel Hong Kong SFC License Details (ID 72361)

Personnel Hong Kong SFC License Details (ID 72361)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2025-01-13	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2019-08-16	2024-10-16
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2019-08-16	2024-10-16
Deltroit (Hong Kong) Limited	Rep	Advising on securities	2014-01-14	2019-07-31
	Rep	Asset management	2014-01-14	2019-07-31
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2011-01-21	2013-11-01
	Rep	Dealing in securities	2011-01-21	2013-11-01
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-12-11	2009-03-04