Personnel Hong Kong SFC License Details (ID 89289)

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
C.M. Capital Advisors (HK) Limited	RO	Advising on securities	2021-03-22	-
	RO	Asset management	2021-03-22	-
	Rep	Advising on securities	2020-10-09	2021-03-22
	Rep	Asset management	2020-10-09	2021-03-22
CWB Hong Kong Limited	Rep	Advising on securities	2020-08-14	2020-08-31
	Rep	Asset management	2020-08-14	2020-08-31
	Rep	Dealing in securities	2020-08-14	2020-08-31
Funderstone Securities Limited	RO	Advising on corporate finance	2018-09-13	2019-02-14
	RO	Dealing in securities	2018-09-13	2019-02-14
	Rep	Advising on corporate finance	2018-07-17	2018-09-13
	Rep	Dealing in securities	2018-07-17	2018-09-13
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-07-20	2018-01-29
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2015-07-20	2018-01-29
	Rep	Dealing in securities	2015-07-20	2018-01-29
MACQUARIE CAPITAL LIMITED	RO	Advising on corporate finance	2012-12-27	2015-06-11
	RO	Dealing in securities	2012-12-27	2015-06-11
Macquarie Corporate (Hong Kong) Limited	RO	Advising on corporate finance	2012-12-27	2015-06-11
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	2012-10-05	2012-12-27
	Rep	Dealing in securities	2012-10-05	2012-12-27
Macquarie Corporate (Hong Kong) Limited	Rep	Advising on corporate finance	2012-10-05	2012-12-27
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2011-01-03	2012-08-14
	Rep	Dealing in securities	2011-01-03	2012-08-14
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2006-04-10	2010-11-05
	Rep	Dealing in securities	2006-04-10	2010-11-05
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2006-04-10	2010-11-05