Personnel Hong Kong SFC License Details (ID 73443)

Personnel Hong Kong SFC License Details (ID 73443)

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
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2025-01-02	-
	Rep	Dealing in futures contracts	2025-01-02	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2017-10-13	-
CLSA LIMITED	Rep	Dealing in securities	2015-11-16	2017-06-24
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2014-06-12	2015-08-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2011-07-15	2015-08-31
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2008-10-06	2010-06-23