Personnel Hong Kong SFC License Details (ID 75453)

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
Macquarie Asia Securities Limited	Rep	Advising on securities	2026-03-10	-
	Rep	Dealing in securities	2026-03-10	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2024-10-16	2025-07-21
CLSA LIMITED	Rep	Dealing in securities	2015-10-22	2017-12-09
	RO	Dealing in securities	2014-10-14	2015-10-22
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2010-05-10	2016-02-15
CLSA LIMITED	Rep	Dealing in securities	2007-06-11	2014-10-14
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2005-04-14	2007-05-09
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2004-06-02	2007-05-09
Credit Suisse Futures (Hong Kong) Limited	Rep	Dealing in futures contracts	2004-06-02	2007-05-09
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2004-06-02	2007-05-09
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2003-09-29	2003-12-18
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2003-09-29	2003-12-18
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2003-09-29	2003-12-18
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-06
	Rep	Asset management	2003-04-01	2003-08-06
	Rep	Dealing in futures contracts	2003-04-01	2003-08-07
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-06
	Rep	Advising on securities	2003-04-01	2003-08-06
	Rep	Asset management	2003-04-01	2003-08-06
	Rep	Dealing in securities	2003-04-01	2003-08-07