Personnel Hong Kong SFC License Details (ID 81768)

Personnel Hong Kong SFC License Details (ID 81768)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2022-08-17	-
	Rep	Advising on securities	2022-04-14	-
CLSA LIMITED	Rep	Dealing in securities	2022-04-14	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2022-02-24	2022-08-17
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2018-11-01	2022-02-14
	Rep	Advising on corporate finance	2007-07-13	2018-11-01
CELESTIAL CAPITAL LIMITED	Rep	Advising on corporate finance	2006-02-03	2007-06-25
	Rep	Dealing in securities	2006-02-03	2007-06-25
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2005-09-12	2006-02-01