Personnel Hong Kong SFC License Details (ID 77572)

Personnel Hong Kong SFC License Details (ID 77572)

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
Success Securities Limited	Rep	Dealing in securities	2018-09-05	2024-09-23
CLSA LIMITED	Rep	Dealing in securities	2013-08-05	2015-10-23
METRO CAPITAL SECURITIES LIMITED	Rep	Dealing in securities	2012-06-27	2013-07-23
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-08-12	2012-02-10
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	-	2003-08-22
	Rep	Advising on corporate finance	-	2005-02-15
	Rep	Advising on securities	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Dealing in securities	-	2012-02-10