Personnel Hong Kong SFC License Details (ID 88610)

Personnel Hong Kong SFC License Details (ID 88610)

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
Aletheia Analyst Network Limited	RO	Advising on securities	2019-10-15	-
ALETHEIA TECHNOLOGIES LIMITED (HK)	RO	Advising on securities	2015-02-09	2021-06-04
	Rep	Advising on securities	2012-06-25	2015-02-09
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2010-07-15	2012-02-27
CLSA RESEARCH LIMITED	Rep	Advising on securities	2003-07-02	2010-06-30
CLSA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-25
	Rep	Asset management	2003-04-01	2003-06-25
	Rep	Dealing in securities	2003-04-01	2003-06-25
	Rep	Advising on securities	2003-04-01	2003-07-22