Personnel Hong Kong SFC License Details (ID 75431)

Personnel Hong Kong SFC License Details (ID 75431)

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 CLSA Capital Partners HK Limited	RO	Advising on corporate finance	2014-11-12	2019-09-24
	RO	Advising on securities	2014-11-12	2019-12-31
	Rep	Advising on corporate finance	2012-10-12	2014-11-12
	Rep	Advising on securities	2012-10-12	2014-11-12
	Rep	Asset management	2012-10-12	2019-12-31
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2009-09-03	2012-10-12
	Rep	Advising on securities	2009-09-03	2012-10-12
CLSA LIMITED	Rep	Dealing in securities	2009-01-22	2009-09-02
CITIC CLSA Capital Partners HK Limited	Rep	Advising on corporate finance	2006-07-12	2009-01-01
	Rep	Advising on securities	2006-07-12	2009-01-01
	Rep	Asset management	2006-07-12	2009-01-01
CLSA FUTURES LIMITED	RO	Advising on futures contracts	-	2003-10-03
	RO	Asset management	-	2003-10-03
	RO	Dealing in futures contracts	-	2003-10-03
CLSA LIMITED	RO	Advising on corporate finance	-	2003-10-03
	RO	Advising on securities	-	2003-10-03
	RO	Asset management	-	2003-10-03
	RO	Dealing in securities	-	2003-10-03