Personnel Hong Kong SFC License Details (ID 77676)

Personnel Hong Kong SFC License Details (ID 77676)

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
CLSA LIMITED	RO	Dealing in securities	2018-10-23	-
CITIC Securities International Global Markets Limited	Rep	Dealing in securities	2017-11-15	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2016-12-02	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2016-06-29	-
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2015-02-17	2016-02-15
CLSA LIMITED	Rep	Dealing in securities	2015-02-17	2018-10-23
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2012-07-19	2015-02-13
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2012-07-19	2015-02-13
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2009-10-02	2012-04-14
	Rep	Dealing in futures contracts	2009-10-02	2012-04-14
	Rep	Dealing in securities	2009-10-02	2012-04-14
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-11-17	2009-05-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-11-17	2009-05-05
	Rep	Dealing in securities	2007-07-30	2009-05-05
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-02-07	2007-07-04