Personnel Hong Kong SFC License Details (ID 74415)

Personnel Hong Kong SFC License Details (ID 74415)

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
Guolian Securities International Asset Management Co., Limited	RO	Asset management	2020-12-15	-
Guolian Securities International Capital Co., Limited	RO	Advising on securities	2020-12-15	2024-07-02
	RO	Dealing in securities	2020-12-15	2024-07-02
CITIC CLSA Capital Partners HK Limited	Rep	Advising on securities	2018-02-21	2019-05-15
CLSA LIMITED	Rep	Dealing in securities	2018-02-21	2019-05-15
CITIC CLSA Capital Partners HK Limited	Rep	Advising on corporate finance	2017-10-03	2019-05-15
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-23	2017-09-30
	Rep	Advising on securities	2015-04-23	2017-09-30
CLSA LIMITED	Rep	Dealing in securities	2015-04-23	2017-09-30
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2011-03-29	2016-01-13
	Rep	Advising on securities	2011-03-29	2016-01-13
	Rep	Dealing in securities	2011-03-29	2016-01-13
Oppenheimer Investments Asia Limited	Rep	Advising on corporate finance	2010-03-16	2011-03-27