Personnel Hong Kong SFC License Details (ID 74347)

Personnel Hong Kong SFC License Details (ID 74347)

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
CoreBridge Capital Limited	RO	Advising on securities	2026-07-31	-
	RO	Asset management	2026-07-31	-
CLSA LIMITED	Rep	Dealing in securities	2023-09-20	2026-06-30
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2022-11-16	2023-08-01
	RO	Dealing in securities	2022-11-16	2023-08-01
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2022-11-16	2023-08-01
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2022-06-14	2022-11-16
	Rep	Dealing in securities	2022-06-14	2022-11-16
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2022-06-14	2022-11-16
CLSA LIMITED	Rep	Dealing in securities	2014-02-10	2022-05-31
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2011-09-05	2014-02-09
CINDA INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-03-16	2010-08-31
	Rep	Dealing in securities	2010-03-16	2010-08-31