Personnel Hong Kong SFC License Details (ID 73515)

Personnel Hong Kong SFC License Details (ID 73515)

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
Harmony Capital Global Asset Management Limited	RO	Advising on securities	2023-06-14	-
	RO	Asset management	2023-06-14	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2012-06-12	2015-10-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2012-01-27	2015-10-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2008-07-18	2015-10-15
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-07-08	2005-07-22
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2005-07-08	2005-07-22
	Rep	Dealing in futures contracts	2005-07-08	2005-07-22
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-07-08	2005-07-22