Personnel Hong Kong SFC License Details (ID 73669)

Personnel Hong Kong SFC License Details (ID 73669)

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
CMS ASSET MANAGEMENT (HK) CO., LIMITED	Rep	Asset management	2021-08-25	2023-05-25
	Rep	Advising on securities	2021-06-08	2023-05-25
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2021-03-25	2021-05-27
	Rep	Advising on securities	2013-06-04	2021-05-27
	RO	Dealing in securities	2010-12-06	2021-03-25
	Rep	Dealing in securities	2009-03-18	2010-12-06
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2008-11-20
	Rep	Dealing in securities	-	2008-11-20
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	-	2008-11-20