Personnel Hong Kong SFC License Details (ID 79618)

Personnel Hong Kong SFC License Details (ID 79618)

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
CEB International Capital Corporation Limited	RO	Advising on securities	2022-03-28	2024-06-21
	RO	Dealing in securities	2022-03-28	2024-06-21
	Rep	Advising on securities	2022-02-08	2022-03-28
	Rep	Dealing in securities	2022-02-08	2022-03-28
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2021-04-12	2021-10-19
	RO	Dealing in securities	2021-04-12	2021-10-19
	Rep	Advising on securities	2019-06-24	2021-04-12
	Rep	Dealing in securities	2019-06-24	2021-04-12
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2017-04-19	2018-09-05
	Rep	Dealing in securities	2017-04-19	2018-09-05
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-06-28	2013-11-18
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2009-05-04	2011-01-12
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-08-12	2009-03-27
	Rep	Dealing in securities	2008-08-12	2009-03-27