Personnel Hong Kong SFC License Details (ID 77575)

Personnel Hong Kong SFC License Details (ID 77575)

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
HAITONG INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2014-04-17	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on securities	2014-04-17	-
	RO	Dealing in securities	2014-04-17	-
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2014-03-05	2014-04-17
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2014-03-05	2014-04-17
	Rep	Dealing in securities	2014-03-05	2014-04-17
FRONTIER CAPITAL INVESTMENT LIMITED	Rep	Advising on corporate finance	2014-01-14	2014-02-13
	Rep	Advising on securities	2014-01-14	2014-02-13
	Rep	Dealing in securities	2014-01-14	2014-02-13
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2010-08-27	2013-01-01
	Rep	Advising on securities	2010-08-27	2013-01-01
	Rep	Dealing in securities	2010-08-27	2013-01-01
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2008-05-23	2010-07-17
Shang International Finance Limited	Rep	Advising on corporate finance	2003-04-01	2007-04-01
	Rep	Advising on securities	2003-04-01	2007-04-01
	Rep	Asset management	2003-04-01	2007-04-01
	Rep	Dealing in securities	2003-04-01	2007-04-01