Personnel Hong Kong SFC License Details (ID 74405)

Personnel Hong Kong SFC License Details (ID 74405)

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
CLSA LIMITED	Rep	Advising on securities	2014-12-30	2015-11-03
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-02-10	2015-11-03
	Rep	Advising on securities	2014-02-10	2015-11-03
CLSA LIMITED	Rep	Dealing in securities	2014-02-10	2015-11-03
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on securities	2007-12-28	2014-02-09
	Rep	Dealing in securities	2007-12-28	2014-02-09
	Rep	Advising on corporate finance	2007-12-03	2014-02-09
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2006-10-05	2007-11-15
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2006-10-05	2007-11-15