Personnel Hong Kong SFC License Details (ID 74545)

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
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2023-10-13	-
	RO	Advising on securities	2023-10-13	-
	RO	Dealing in securities	2023-10-13	-
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2023-10-13	-
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2022-10-03	2023-10-13
	Rep	Advising on securities	2022-10-03	2023-10-13
	Rep	Dealing in securities	2022-10-03	2023-10-13
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2022-10-03	2023-10-13
BOCOM International Securities Limited	Rep	Advising on securities	2018-10-11	2022-08-31
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2018-08-22	2022-08-31
	Rep	Dealing in securities	2018-08-22	2022-08-31
BOCOM International Securities Limited	Rep	Dealing in securities	2018-08-22	2022-08-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2015-03-11	2018-08-09
	Rep	Dealing in securities	2015-03-11	2018-08-09
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-01-15	2015-01-08
	Rep	Advising on securities	2014-01-15	2015-01-08
	Rep	Dealing in securities	2014-01-15	2015-01-08
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2013-03-07	2013-10-19
	Rep	Dealing in securities	2013-03-07	2013-10-19
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2013-03-07	2013-10-19
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2008-09-18	2013-02-09
	Rep	Dealing in securities	2004-09-01	2013-02-09
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-09-01	2012-01-31