Personnel Hong Kong SFC License Details (ID 73412)

Personnel Hong Kong SFC License Details (ID 73412)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2025-08-18	2025-08-25
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2020-12-01	2025-08-25
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2020-05-15	2025-08-18
	Rep	Advising on securities	2016-03-10	2021-02-09
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2014-08-28	2025-08-25
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2008-04-29	2020-05-15
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2006-10-24	2008-02-04
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2006-05-04	2006-09-30