Personnel Hong Kong SFC License Details (ID 74433)

Personnel Hong Kong SFC License Details (ID 74433)

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
CPE Asset Management Limited	RO	Advising on securities	2022-10-31	2025-02-24
	RO	Asset management	2022-10-31	2025-02-24
APlus Partners Asset Management Limited	Rep	Advising on securities	2021-03-15	2022-01-01
	Rep	Asset management	2021-02-25	2022-01-01
CITIC CLSA Capital Partners HK Limited	RO	Advising on securities	2020-02-25	2020-11-16
	Rep	Asset management	2019-12-18	2020-11-16
	Rep	Advising on securities	2017-10-18	2020-02-25
CLSA LIMITED	Rep	Dealing in securities	2017-10-18	2020-11-16
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on securities	2011-08-01	2017-05-01
	Rep	Dealing in securities	2011-08-01	2017-05-01