Personnel Hong Kong SFC License Details (ID 83594)

Personnel Hong Kong SFC License Details (ID 83594)

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
FTI Capital Advisors (Hong Kong) Limited	RO	Advising on corporate finance	2023-01-17	-
	RO	Advising on securities	2023-01-17	-
	RO	Dealing in securities	2023-01-17	-
CMB International Capital Limited	Rep	Advising on corporate finance	2018-07-27	2019-02-01
CMB International Securities Limited	Rep	Dealing in securities	2018-02-23	2019-02-01
CMB International Capital Limited	RO	Advising on corporate finance	2017-12-21	2018-07-27
	RO	Dealing in securities	2017-12-21	2019-02-01
	Rep	Advising on corporate finance	2017-08-30	2017-12-21
	Rep	Dealing in securities	2017-08-30	2017-12-21
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2015-06-04	2017-05-19
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2011-07-12	2017-05-19
	Rep	Dealing in securities	2011-07-12	2017-05-19
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2009-09-16	2010-11-26
	Rep	Advising on securities	2009-09-16	2010-11-26
	Rep	Dealing in securities	2007-06-18	2010-11-26
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-06-18	2010-11-26