Personnel Hong Kong SFC License Details (ID 75452)

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
China Renaissance Broking Services (Hong Kong) Limited	RO	Dealing in securities	2019-08-30	2025-08-05
China Renaissance Securities (Hong Kong) Limited	RO	Advising on securities	2019-06-18	2025-08-05
	RO	Dealing in securities	2019-06-18	2025-08-05
	Rep	Advising on securities	2018-10-04	2019-06-18
	Rep	Dealing in securities	2018-10-04	2019-06-18
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Providing automated trading services	2016-02-01	2018-03-28
	RO	Dealing in securities	2016-02-01	2018-03-28
	Rep	Providing automated trading services	2015-10-13	2016-02-01
	Rep	Dealing in securities	2015-10-13	2016-02-01
CLSA LIMITED	RO	Providing automated trading services	2013-07-09	2015-03-19
CLSA FUTURES LIMITED	RO	Advising on futures contracts	2012-09-07	2015-03-19
CLSA LIMITED	RO	Advising on securities	2012-09-07	2015-03-19
CLSA FUTURES LIMITED	RO	Dealing in futures contracts	2011-11-17	2015-03-19
CLSA LIMITED	RO	Dealing in securities	2011-11-17	2015-03-19
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2011-05-30	2011-11-17
	Rep	Advising on futures contracts	2011-05-30	2012-09-07
CLSA LIMITED	Rep	Dealing in securities	2011-05-30	2011-11-17
CLSA RESEARCH LIMITED	Rep	Advising on securities	2011-05-30	2012-12-03
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-08-20	2011-03-01
Merrill Lynch (Asia Pacific) Limited	RO	Providing automated trading services	2007-11-26	2011-03-01
	RO	Dealing in securities	2003-12-19	2011-03-01
Merrill Lynch Far East Limited	RO	Dealing in securities	2003-12-19	2011-03-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2003-08-15	2011-03-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2003-08-14
	Rep	Advising on securities	-	2003-08-14
	Rep	Asset management	-	2003-08-14
	Rep	Providing automated trading services	-	2003-08-14
	Rep	Dealing in securities	-	2003-12-19
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	-	2003-08-14
	Rep	Advising on securities	-	2003-08-14
	Rep	Asset management	-	2003-08-14
	Rep	Dealing in securities	-	2003-12-19
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-08-14
	Rep	Asset management	-	2003-08-14
	Rep	Providing automated trading services	-	2003-08-14
	Rep	Dealing in futures contracts	-	2003-08-15