Personnel Hong Kong SFC License Details (ID 73436)

Personnel Hong Kong SFC License Details (ID 73436)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2024-05-14	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on futures contracts	2019-10-11	2023-03-10
	Rep	Advising on securities	2019-10-11	2023-03-10
	Rep	Dealing in futures contracts	2019-10-11	2023-03-10
	Rep	Dealing in securities	2019-10-11	2023-03-10
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2013-11-01	2014-12-31
	Rep	Asset management	2013-11-01	2014-12-31
	Rep	Dealing in securities	2013-11-01	2014-12-31
BlackRock Asset Management North Asia Limited	Rep	Asset management	2013-11-01	2015-08-31
	Rep	Advising on corporate finance	2013-11-01	2018-11-30
	Rep	Advising on securities	2013-11-01	2018-11-30
	Rep	Dealing in securities	2013-11-01	2018-11-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2012-08-15	2013-07-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2012-02-13	2013-07-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2008-08-19	2013-07-31
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2007-01-04	2008-05-05
	Rep	Dealing in securities	2007-01-04	2008-05-05