Personnel Hong Kong SFC License Details (ID 74468)

Personnel Hong Kong SFC License Details (ID 74468)

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
BOCHK Asset Management Limited	RO	Advising on securities	2019-03-15	-
	RO	Asset management	2019-03-15	-
	RO	Dealing in securities	2019-03-15	-
	Rep	Advising on securities	2016-09-13	2019-03-15
	Rep	Asset management	2016-09-13	2019-03-15
	Rep	Dealing in securities	2016-09-13	2019-03-15
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2015-11-23	2016-02-29
	Rep	Dealing in securities	2015-11-23	2016-05-31
CITIC Securities Asset Management (HK) Limited	Rep	Dealing in securities	2015-02-10	2016-05-31
	Rep	Advising on securities	2009-10-07	2016-05-31
	Rep	Asset management	2009-10-07	2016-05-31