Personnel Hong Kong SFC License Details (ID 82162)

Personnel Hong Kong SFC License Details (ID 82162)

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 Brokerage (HK) Limited	RO	Advising on securities	2019-07-16	-
	RO	Dealing in securities	2017-06-30	-
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2017-06-30	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-07-28	2017-06-30
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-07-28	2017-06-30
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Dealing in securities	2013-07-25	2015-06-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2011-06-02	2015-06-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2011-06-02	2015-06-20