Personnel Hong Kong SFC License Details (ID 73737)

Personnel Hong Kong SFC License Details (ID 73737)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2012-07-20	2013-12-10
	Rep	Dealing in securities	2009-10-06	2013-12-10
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-02-20	2009-07-31
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-06-06	2008-12-05
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2006-05-17	2007-05-25
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2006-05-17	2007-05-25
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2006-02-01	2006-04-18
	Rep	Dealing in securities	2006-02-01	2006-04-18
CITIC FRONTIER CHINA RESEARCH LIMITED	Rep	Advising on securities	2004-08-17	2006-02-01
	Rep	Dealing in securities	2004-08-17	2006-02-01