Personnel Hong Kong SFC License Details (ID 75441)

Personnel Hong Kong SFC License Details (ID 75441)

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	2019-04-04	2019-09-24
	RO	Advising on securities	2019-04-04	2019-11-30
	RO	Asset management	2019-04-04	2019-11-30
CLSA FUTURES LIMITED	RO	Advising on futures contracts	2015-03-27	2016-02-15
	RO	Dealing in futures contracts	2015-03-27	2016-02-15
CLSA LIMITED	RO	Dealing in securities	2014-10-28	2019-11-30
CLSA FUTURES LIMITED	Rep	Advising on futures contracts	2012-07-05	2013-01-10
	Rep	Dealing in futures contracts	2012-07-05	2013-01-10
CLSA LIMITED	Rep	Advising on securities	2012-07-05	2013-01-10
	Rep	Dealing in securities	2012-07-05	2013-01-10
CLSA FUTURES LIMITED	RO	Asset management	-	2004-08-17
	RO	Advising on futures contracts	-	2012-07-05
	RO	Dealing in futures contracts	-	2012-07-05
CLSA LIMITED	RO	Advising on corporate finance	-	2004-08-17
	RO	Asset management	-	2004-08-17
	RO	Advising on securities	-	2012-07-05
	RO	Dealing in securities	-	2012-07-05