Personnel Hong Kong SFC License Details (ID 8241837)

Personnel Hong Kong SFC License Details (ID 8241837)

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
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2025-09-22	-
	Rep	Advising on securities	2025-09-22	-
	Rep	Dealing in securities	2025-09-22	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2021-10-15	2023-02-24
	Rep	Advising on securities	2021-10-15	2023-02-24
	Rep	Dealing in securities	2021-10-15	2023-02-24
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-07-22	2021-07-02
	Rep	Advising on securities	2019-07-22	2021-07-02
CLSA LIMITED	Rep	Advising on securities	2019-07-22	2021-07-02
	Rep	Dealing in securities	2019-07-22	2021-07-02
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2018-07-26	2019-04-18
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-09-28	2019-04-18
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-04-19	2019-04-18
	Rep	Dealing in securities	2017-04-19	2019-04-18