Personnel Hong Kong SFC License Details (ID 73316)

Personnel Hong Kong SFC License Details (ID 73316)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2022-11-10	-
	Rep	Dealing in securities	2022-11-10	-
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2014-09-11	2020-03-19
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Advising on futures contracts	2011-12-19	2020-03-19
	Rep	Dealing in futures contracts	2011-12-19	2020-03-19
CICC US Securities (Hong Kong) Limited	RO	Dealing in securities	2011-05-25	2012-02-17
CICC US Securities, Inc.	RO	Dealing in securities	2011-05-25	2011-10-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2010-06-02	2020-03-19
	Rep	Dealing in securities	2010-02-12	2010-06-02
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-08-28	2009-12-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-07-14	2009-12-12
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-04-12	2008-04-12
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2004-03-31	2005-04-11
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-08
	Rep	Advising on securities	2003-04-01	2004-03-08
	Rep	Asset management	2003-04-01	2004-03-08
	Rep	Dealing in securities	2003-04-01	2004-03-08