Personnel Hong Kong SFC License Details (ID 77414)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on securities	2025-01-02	-
	RO	Dealing in securities	2025-01-02	-
	RO	Advising on corporate finance	2025-01-02	2025-08-03
	Rep	Advising on corporate finance	2023-03-06	2025-01-02
	Rep	Advising on securities	2023-03-06	2025-01-02
	Rep	Dealing in securities	2023-03-06	2025-01-02
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2019-10-21	2022-12-02
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2019-10-21	2022-12-02
	Rep	Dealing in securities	2019-10-21	2022-12-02
Privium Fund Management (HK) Limited	Rep	Asset management	2018-02-28	2019-09-20
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2017-05-04	2017-07-18
	RO	Advising on securities	2017-05-04	2017-07-18
CLSA LIMITED	RO	Advising on securities	2017-05-04	2017-07-18
	RO	Dealing in securities	2017-05-04	2017-07-18
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2016-08-11	2017-05-04
	Rep	Advising on securities	2016-08-11	2017-05-04
CLSA LIMITED	Rep	Advising on securities	2016-08-11	2017-05-04
	Rep	Dealing in securities	2016-08-11	2017-05-04
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2007-06-01	2016-04-23
	Rep	Advising on securities	2007-06-01	2016-04-23
	Rep	Dealing in securities	2007-06-01	2016-04-23