Personnel Hong Kong SFC License Details (ID 88054)

Personnel Hong Kong SFC License Details (ID 88054)

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
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-05-10	2023-06-20
	Rep	Advising on securities	2021-05-10	2023-06-20
	Rep	Dealing in securities	2021-05-10	2023-06-20
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2018-04-25	2021-02-09
CLSA LIMITED	Rep	Advising on securities	2018-04-25	2021-02-09
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-03-26	2021-02-09
CLSA LIMITED	Rep	Dealing in securities	2018-03-26	2021-02-09
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2016-11-30	2018-02-15
	Rep	Dealing in securities	2016-11-30	2018-02-15
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2015-12-21	2016-10-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2009-11-13	2013-03-02
	Rep	Advising on securities	2009-11-13	2013-03-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2009-11-13	2013-03-02
	Rep	Advising on securities	2009-11-13	2013-03-02
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2009-10-20	2013-03-02
Merrill Lynch Far East Limited	Rep	Dealing in securities	2009-10-20	2013-03-02
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-05-27	2009-09-28