Personnel Hong Kong SFC License Details (ID 75422)

Personnel Hong Kong SFC License Details (ID 75422)

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
CLSA LIMITED	Rep	Advising on securities	2015-01-16	2016-12-31
	Rep	Dealing in securities	2015-01-16	2016-12-31
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2007-09-20	2016-12-31
	Rep	Advising on securities	2007-09-20	2016-12-31
AXA CHINA REGION INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2006-11-07	2007-01-20
	Rep	Dealing in securities	2006-11-07	2007-01-20
Network Financial Services Limited	Rep	Advising on securities	2005-09-09	2006-08-28
Neutral Financial Holding Company Limited	Rep	Advising on corporate finance	2003-07-14	2005-02-18
	Rep	Dealing in securities	2003-07-14	2005-02-18