Personnel Hong Kong SFC License Details (ID 84151)

Personnel Hong Kong SFC License Details (ID 84151)

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
CLSA LIMITED	RO	Providing automated trading services	2026-03-17	-
	RO	Dealing in securities	2026-03-17	-
	Rep	Dealing in securities	2021-10-11	2026-03-17
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2019-09-05	2021-08-27
	Rep	Dealing in securities	2019-09-05	2021-08-27
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2018-10-16	2019-08-29
	Rep	Dealing in securities	2018-10-16	2019-08-29
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2016-06-10	2018-07-05
	Rep	Dealing in securities	2016-01-13	2018-07-05
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2016-01-13	2018-07-05
	Rep	Dealing in securities	2016-01-13	2018-07-05
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2008-04-15	2015-10-30
	Rep	Dealing in securities	2008-04-15	2015-10-30