Personnel Hong Kong SFC License Details (ID 90876)

Personnel Hong Kong SFC License Details (ID 90876)

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	RO	Advising on corporate finance	2021-10-27	2026-04-02
	RO	Advising on securities	2021-10-27	2026-04-02
CLSA LIMITED	RO	Dealing in securities	2021-10-27	2026-04-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2018-05-23	2021-10-27
CLSA LIMITED	Rep	Advising on securities	2018-05-23	2021-07-20
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-04-17	2021-10-27
CLSA LIMITED	Rep	Dealing in securities	2018-04-17	2021-10-27
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2014-02-13	2018-01-19
	Rep	Dealing in securities	2014-02-13	2018-01-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2011-09-05	2014-01-09
	Rep	Advising on securities	2011-09-05	2014-01-09
	Rep	Dealing in securities	2011-09-05	2014-01-09