Personnel Hong Kong SFC License Details (ID 78497)

Personnel Hong Kong SFC License Details (ID 78497)

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	Rep	Dealing in securities	2018-06-15	-
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2017-06-26	-
	Rep	Dealing in securities	2017-06-26	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-08-19	2017-06-25
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-08-19	2017-06-25
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Providing automated trading services	2010-06-23	2012-09-05
	Rep	Dealing in securities	2009-09-14	2012-09-05
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-06	2008-12-11
	Rep	Dealing in futures contracts	2008-11-06	2008-12-11
	Rep	Dealing in securities	2007-04-03	2008-12-11
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2007-04-03	2008-12-11
	Rep	Dealing in futures contracts	2007-04-03	2008-12-11
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2007-04-03	2008-12-11