Personnel Hong Kong SFC License Details (ID 80348)

Personnel Hong Kong SFC License Details (ID 80348)

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
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2022-02-08	-
	RO	Dealing in securities	2022-02-08	-
	Rep	Advising on corporate finance	2021-11-01	2022-02-08
	Rep	Dealing in securities	2021-11-01	2022-02-08
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2019-11-15	2021-10-22
	Rep	Advising on securities	2019-10-31	2021-10-22
CLSA LIMITED	Rep	Advising on securities	2019-10-31	2021-07-20
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-09-02	2019-11-15
CLSA LIMITED	Rep	Dealing in securities	2019-09-02	2021-10-22
GF Capital (Hong Kong) Limited	RO	Advising on corporate finance	2016-05-09	2019-09-01
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2014-02-12	2019-09-01
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2010-04-01	2016-05-09
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2008-09-16	2010-03-22
CELESTIAL CAPITAL LIMITED	Rep	Advising on corporate finance	2007-10-04	2008-08-11
	Rep	Dealing in securities	2007-09-24	2008-08-11
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2006-08-22	2007-04-10