Personnel Hong Kong SFC License Details (ID 80686)

Personnel Hong Kong SFC License Details (ID 80686)

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
S&AMP;P GLOBAL RATINGS HONG KONG LIMITED	Rep	Providing credit rating services	2020-11-12	-
Yunfeng Financial Markets Limited	Rep	Advising on securities	2017-05-25	2018-03-01
	Rep	Dealing in securities	2017-05-25	2018-03-01
Yunfeng Securities Limited	Rep	Advising on securities	2017-05-25	2018-03-01
	Rep	Dealing in securities	2017-05-25	2018-03-01
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2014-09-11	2016-06-18
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-08-02	2014-05-31