Personnel Hong Kong SFC License Details (ID 75423)

Personnel Hong Kong SFC License Details (ID 75423)

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	RO	Advising on corporate finance	2024-07-15	-
	RO	Advising on securities	2024-07-15	-
CLSA LIMITED	RO	Dealing in securities	2024-07-15	-
	Rep	Advising on securities	2015-01-21	2021-07-20
	Rep	Dealing in securities	2015-01-21	2024-07-15
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2011-06-29	2024-07-15
	Rep	Advising on securities	2011-06-29	2024-07-15
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2011-04-20	2011-05-23
PLATINUM SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2006-11-17	2011-03-19
	Rep	Dealing in securities	2006-11-17	2011-03-19