Personnel Hong Kong SFC License Details (ID 73120)

Personnel Hong Kong SFC License Details (ID 73120)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2025-12-15	-
	Rep	Advising on securities	2025-10-15	-
	Rep	Advising on corporate finance	2025-10-15	2025-12-15
CLSA LIMITED	Rep	Dealing in securities	2025-10-15	-
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2021-10-21	2025-07-08
	Rep	Advising on corporate finance	2021-07-08	2021-10-21
ADVENT CORPORATE FINANCE LIMITED (GBEN)	RO	Advising on corporate finance	2018-10-18	2021-05-07
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2016-07-08	2018-10-10
	Rep	Advising on corporate finance	2013-06-10	2016-07-08
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2011-04-27	2013-05-24
Yuanta Asia Investment (Hong Kong) Limited	Rep	Advising on corporate finance	2010-03-17	2011-04-01
Polaris Capital (Asia) Limited	Rep	Advising on corporate finance	2008-06-04	2010-03-11