Personnel Hong Kong SFC License Details (ID 75201)

Personnel Hong Kong SFC License Details (ID 75201)

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	Rep	Advising on corporate finance	2025-08-11	-
	Rep	Advising on securities	2025-08-11	-
CLSA LIMITED	Rep	Dealing in securities	2025-08-11	-
XCap Partners Limited	Rep	Advising on corporate finance	2021-09-08	2025-07-17
	Rep	Advising on securities	2021-09-08	2025-07-17
	Rep	Dealing in securities	2021-09-08	2025-07-17
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2018-11-26	2021-05-31
	Rep	Advising on securities	2018-11-26	2021-05-31
	Rep	Dealing in securities	2018-11-26	2021-05-31
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2011-05-09	2018-09-18
	Rep	Dealing in securities	2011-05-09	2018-09-18
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2011-05-09	2012-01-31
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2007-09-20	2011-04-09
	Rep	Dealing in securities	2007-09-20	2011-04-09
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2007-09-20	2011-04-09