Personnel Hong Kong SFC License Details (ID 77234)

Personnel Hong Kong SFC License Details (ID 77234)

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
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2026-08-25	-
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2022-12-01	2026-02-21
	Rep	Asset management	2022-12-01	2026-02-21
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2022-03-18	2022-12-31
	Rep	Asset management	2022-03-18	2022-12-31
TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED	Rep	Asset management	2019-11-01	2022-02-28
	Rep	Advising on securities	2019-10-28	2022-02-28
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-05-06	2019-07-17
	Rep	Advising on securities	2019-05-06	2019-07-17
CLSA LIMITED	Rep	Advising on securities	2019-05-06	2019-07-17
	Rep	Dealing in securities	2019-05-06	2019-07-17
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2018-06-05	2018-12-28
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2013-10-16	2018-04-16
	Rep	Dealing in securities	2013-10-16	2018-04-16
Jefferies Hong Kong Limited	Rep	Advising on securities	2013-06-24	2013-09-16
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2010-10-08	2013-01-30
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-07-10	2010-09-10