Personnel Hong Kong SFC License Details (ID 74395)

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
DGA Capital Asset Management Limited	Rep	Advising on securities	2023-12-18	-
	Rep	Asset management	2023-12-18	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2023-04-04	2023-05-10
	RO	Dealing in securities	2023-04-04	2023-05-10
	Rep	Advising on corporate finance	2022-09-05	2023-04-04
	Rep	Dealing in securities	2022-09-05	2023-04-04
Everbright Securities Investment Services (HK) Limited	RO	Advising on securities	2018-02-22	2018-10-12
	RO	Dealing in securities	2018-02-22	2018-10-12
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2017-02-22	2018-10-12
	RO	Advising on securities	2017-02-22	2018-10-12
	RO	Dealing in securities	2017-02-22	2018-10-12
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2016-08-01	2018-10-12
	Rep	Advising on securities	2016-08-01	2018-10-12
	Rep	Dealing in securities	2016-08-01	2018-10-12
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on securities	2016-08-01	2017-02-22
	Rep	Dealing in securities	2016-08-01	2017-02-22
CLSA LIMITED	Rep	Advising on securities	2015-01-13	2016-05-06
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2013-11-01	2016-05-06
	Rep	Advising on securities	2013-11-01	2016-05-06
CLSA LIMITED	Rep	Dealing in securities	2013-11-01	2016-05-06
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on securities	2007-10-16	2014-10-17
	RO	Advising on corporate finance	2007-03-01	2014-10-17
	RO	Dealing in securities	2007-03-01	2014-10-17
	Rep	Advising on securities	2003-11-28	2004-07-30
	Rep	Advising on corporate finance	2003-11-28	2007-03-01
	Rep	Dealing in securities	2003-11-28	2007-03-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-11-01
	Rep	Advising on securities	2003-04-01	2003-11-01
	Rep	Asset management	2003-04-01	2003-11-01
	Rep	Providing automated trading services	2003-04-01	2003-11-01
	Rep	Dealing in securities	2003-04-01	2003-11-01
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-11-01
	Rep	Advising on securities	2003-04-01	2003-11-01
	Rep	Asset management	2003-04-01	2003-11-01
	Rep	Providing automated trading services	2003-04-01	2003-11-01
	Rep	Dealing in securities	2003-04-01	2003-11-01