Personnel Hong Kong SFC License Details (ID 74419)

Personnel Hong Kong SFC License Details (ID 74419)

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 (Hong Kong) Limited	RO	Advising on corporate finance	2016-08-29	2017-05-02
	RO	Advising on securities	2016-08-29	2017-05-02
CLSA LIMITED	RO	Dealing in securities	2016-08-29	2017-05-02
	Rep	Advising on securities	2014-12-30	2017-05-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2013-11-01	2016-08-29
	Rep	Advising on securities	2013-11-01	2016-08-29
CLSA LIMITED	Rep	Dealing in securities	2013-11-01	2016-08-29
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on securities	2007-09-27	2013-10-31
	Rep	Advising on corporate finance	2006-07-28	2013-10-31
	Rep	Dealing in securities	2006-07-28	2013-10-31