Personnel Hong Kong SFC License Details (ID 84328)

Personnel Hong Kong SFC License Details (ID 84328)

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
Carret Private Capital Limited	Rep	Advising on securities	2023-11-06	-
	Rep	Asset management	2023-11-06	-
	Rep	Dealing in securities	2023-11-06	-
ST. JAMES'S PLACE (HONG KONG) LIMITED	Rep	Advising on securities	2023-09-22	2023-09-27
	Rep	Asset management	2023-09-22	2023-09-27
	Rep	Dealing in securities	2023-09-22	2023-09-27
Jefferies Hong Kong Limited	Rep	Dealing in securities	2017-12-20	2020-07-16
	RO	Advising on securities	2010-01-04	2012-11-15
	RO	Dealing in securities	2010-01-04	2017-12-20
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2004-04-19	2005-10-05