Personnel Hong Kong SFC License Details (ID 88232)

Personnel Hong Kong SFC License Details (ID 88232)

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
HAITONG INTERNATIONAL RESEARCH LIMITED	RO	Advising on securities	2016-05-25	2021-07-27
	Rep	Advising on securities	2016-04-05	2016-05-25
MIB SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2015-06-16	2016-03-14
	Rep	Advising on securities	2013-10-11	2015-06-16
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2012-01-11	2013-09-28
MF Global Hong Kong Limited	Rep	Advising on securities	2010-04-01	2011-11-11
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2009-08-24	2010-03-31
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2008-06-06	2010-03-31
BEAR STEARNS ASIA LIMITED	Rep	Advising on securities	2006-10-16	2008-05-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2005-03-07	2006-09-29
CGS International Securities Hong Kong Limited	Rep	Advising on securities	2003-12-30	2004-05-03
	Rep	Advising on corporate finance	-	2003-06-19
	Rep	Advising on securities	-	2003-06-19
	Rep	Asset management	-	2003-06-19
	Rep	Dealing in securities	-	2004-05-03