Personnel Hong Kong SFC License Details (ID 74429)

Personnel Hong Kong SFC License Details (ID 74429)

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	2016-08-05	2021-07-16
	RO	Advising on securities	2016-08-05	2021-07-16
CLSA LIMITED	RO	Dealing in securities	2016-08-05	2021-07-16
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-04-24	2016-08-05
	Rep	Advising on securities	2015-04-24	2016-08-05
CLSA LIMITED	Rep	Dealing in securities	2015-04-24	2016-08-05
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2008-07-11	2016-01-01
	Rep	Advising on securities	2008-07-11	2016-01-01
	Rep	Dealing in securities	2008-07-11	2016-01-01