Personnel Hong Kong SFC License Details (ID 74408)

Personnel Hong Kong SFC License Details (ID 74408)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2026-07-27	-
	Rep	Dealing in securities	2026-07-27	-
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2017-06-26	2026-06-10
	Rep	Dealing in futures contracts	2017-06-26	2026-06-10
	Rep	Dealing in securities	2017-06-26	2026-06-10
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2014-06-03	2017-06-25
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2013-08-20	2017-06-25
	Rep	Dealing in securities	2013-08-20	2017-06-25
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2011-03-10	2013-08-01
	Rep	Advising on securities	2011-03-10	2013-08-01
	Rep	Dealing in securities	2011-03-10	2013-08-01