Personnel Hong Kong SFC License Details (ID 89801)

Personnel Hong Kong SFC License Details (ID 89801)

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
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2015-05-04	2017-07-31
	Rep	Advising on securities	2015-05-04	2017-07-31
CLSA LIMITED	Rep	Advising on securities	2015-05-04	2017-07-31
	Rep	Dealing in securities	2015-05-04	2017-07-31
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2010-03-05	2013-01-15
	Rep	Dealing in securities	2010-03-05	2013-01-15
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2008-02-11	2008-12-10
	Rep	Advising on securities	2008-02-11	2008-12-10
	Rep	Dealing in securities	2008-02-11	2008-12-10