Personnel Hong Kong SFC License Details (ID 81064)

Personnel Hong Kong SFC License Details (ID 81064)

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
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2021-05-04	2021-08-02
	Rep	Advising on securities	2021-05-04	2021-08-02
	Rep	Asset management	2021-05-04	2021-08-02
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2021-05-04	2021-08-02
	Rep	Asset management	2021-05-04	2021-08-02
	Rep	Dealing in securities	2021-05-04	2021-08-02
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2017-11-01
	Rep	Advising on corporate finance	2015-06-30	2016-12-18
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-04-24	2015-04-25
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2011-06-09	2015-04-25
	Rep	Dealing in securities	2011-01-20	2015-04-25
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2009-06-09	2010-01-19
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2009-02-26	2009-05-09
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2008-07-16	2009-02-02