Personnel Hong Kong SFC License Details (ID 83685)

Personnel Hong Kong SFC License Details (ID 83685)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2023-03-01	-
	Rep	Advising on securities	2023-03-01	-
	Rep	Dealing in securities	2023-03-01	-
FITCH (HONG KONG) LIMITED	Rep	Providing credit rating services	2014-01-17	2017-04-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2013-12-05	2014-01-04
ICBC INTERNATIONAL RESEARCH LIMITED	RO	Advising on securities	2013-07-11	2013-09-05
	Rep	Advising on securities	2009-12-31	2013-07-11
CAPITAL GLOBAL MANAGEMENT LIMITED	Rep	Dealing in securities	2009-04-06	2009-12-01
	Rep	Advising on securities	2007-09-25	2009-12-01
oOo Securities (HK) Group Limited	Rep	Advising on securities	2007-03-05	2007-05-04