Personnel Hong Kong SFC License Details (ID 88514)

Personnel Hong Kong SFC License Details (ID 88514)

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
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2024-10-22	2026-06-19
Macquarie Asia Securities Limited	Rep	Dealing in securities	2020-09-30	2026-06-19
MACQUARIE CAPITAL LIMITED	RO	Dealing in securities	2018-09-05	2024-10-22
	Rep	Dealing in securities	2017-11-09	2018-09-05
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2014-08-05	2016-01-21
	Rep	Dealing in securities	2014-08-05	2016-01-21
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on securities	2010-06-14	2014-03-10
	RO	Dealing in securities	2010-06-14	2014-03-10
	Rep	Dealing in securities	2009-11-04	2010-06-14
	Rep	Dealing in futures contracts	2009-11-04	2014-03-10
CLSA FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-05-04
	Rep	Asset management	-	2004-05-04
	Rep	Dealing in futures contracts	-	2009-09-10
CLSA LIMITED	Rep	Advising on corporate finance	-	2004-05-04
	Rep	Advising on securities	-	2004-05-04
	Rep	Asset management	-	2004-05-04
	Rep	Dealing in securities	-	2009-09-10