Personnel Hong Kong SFC License Details (ID 86352)

Personnel Hong Kong SFC License Details (ID 86352)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2023-07-20	-
	Rep	Dealing in securities	2023-07-20	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-03-02	2022-06-17
	Rep	Advising on securities	2021-03-02	2022-06-17
	Rep	Dealing in securities	2021-03-02	2022-06-17
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2018-11-12	2020-12-09
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-11-12	2020-12-09
	Rep	Dealing in securities	2018-11-12	2020-12-09
CLSA LIMITED	Rep	Dealing in securities	2013-11-01	2015-07-24
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2012-11-19	2013-10-31
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2009-12-03	2012-09-24