Personnel Hong Kong SFC License Details (ID 77659)

Personnel Hong Kong SFC License Details (ID 77659)

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
China Renaissance Securities (Hong Kong) Limited	RO	Advising on securities	2021-05-24	-
	RO	Dealing in securities	2021-05-24	-
	RO	Advising on corporate finance	2015-08-18	-
	Rep	Advising on corporate finance	2015-05-28	2015-08-18
	Rep	Advising on securities	2015-05-28	2021-05-24
	Rep	Dealing in securities	2015-05-28	2021-05-24
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2011-10-20	2015-02-13
	Rep	Dealing in securities	2011-10-20	2015-02-13
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2006-08-25	2011-09-15
	Rep	Advising on corporate finance	2006-08-23	2011-09-15
	Rep	Advising on securities	2006-08-23	2011-09-15
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2005-04-27	2006-08-14
	Rep	Advising on securities	2005-04-27	2006-08-14