Personnel Hong Kong SFC License Details (ID 74359)

Personnel Hong Kong SFC License Details (ID 74359)

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 Asset Management (HK) Limited	Rep	Dealing in securities	2015-02-10	2015-04-18
	Rep	Advising on securities	2014-02-10	2015-04-18
	Rep	Asset management	2014-02-10	2015-04-18
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2013-11-01	2013-11-26
CLSA LIMITED	Rep	Dealing in securities	2013-11-01	2013-11-26
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2006-05-02	2013-10-31
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2006-05-02	2013-10-31