Personnel Hong Kong SFC License Details (ID 88155)

Personnel Hong Kong SFC License Details (ID 88155)

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
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2026-06-18	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2026-04-09	2026-04-27
	Rep	Advising on securities	2026-04-09	2026-04-27
	Rep	Dealing in securities	2026-04-09	2026-04-27
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2022-01-25	2024-05-06
	Rep	Advising on securities	2022-01-25	2024-05-06
CLSA LIMITED	Rep	Dealing in securities	2022-01-25	2024-05-06
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2019-06-17	2021-06-30
	Rep	Advising on securities	2019-06-17	2021-06-30
	Rep	Dealing in securities	2019-06-17	2021-06-30
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-06-21	2019-02-26
	Rep	Advising on securities	2007-06-21	2019-02-26
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-06-21	2019-02-26
	Rep	Advising on securities	2007-06-21	2019-02-26
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-05-25	2019-02-26
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-05-25	2019-02-26
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-05-29	2007-04-28