Personnel Hong Kong SFC License Details (ID 75541)

Personnel Hong Kong SFC License Details (ID 75541)

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
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2021-01-18	-
Sanford C. Bernstein (Hong Kong) Limited	Rep	Dealing in securities	2019-05-14	2020-12-11
	Rep	Advising on securities	2019-04-10	2020-12-11
AUTONOMOUS RESEARCH ASIA LIMITED	RO	Advising on securities	2014-10-30	2019-03-31
CLSA LIMITED	Rep	Advising on securities	2012-12-03	2014-05-30
CLSA RESEARCH LIMITED	Rep	Advising on securities	2009-02-03	2012-12-03
CLSA LIMITED	Rep	Dealing in securities	2008-02-14	2014-05-30