Personnel Hong Kong SFC License Details (ID 73419)

Personnel Hong Kong SFC License Details (ID 73419)

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	RO	Advising on securities	2020-03-04	-
	RO	Dealing in securities	2020-03-04	-
	Rep	Advising on securities	2019-08-26	2020-03-04
	Rep	Dealing in securities	2019-08-26	2020-03-04
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2016-03-10	2019-05-21
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2014-06-26	2019-05-21
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2010-09-06	2019-05-21
Morgan Stanley Asia Limited	Rep	Advising on securities	2009-02-11	2010-08-03
	Rep	Dealing in securities	2009-02-11	2010-08-03