Personnel Hong Kong SFC License Details (ID 74275)

Personnel Hong Kong SFC License Details (ID 74275)

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
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2017-08-14	2019-10-12
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2017-08-14	2019-10-12
	RO	Dealing in futures contracts	2016-09-26	2017-08-14
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2014-05-20	2017-08-14
	Rep	Dealing in securities	2014-04-01	2014-05-20
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2014-04-01	2016-09-26
CLSA LIMITED	Rep	Dealing in securities	2014-02-10	2014-04-01
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2013-06-28	2014-02-09
	Rep	Dealing in securities	2010-01-14	2013-06-28
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-08-19	2005-11-14