Personnel Hong Kong SFC License Details (ID 91176)

Personnel Hong Kong SFC License Details (ID 91176)

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
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2021-08-23	-
CLSA LIMITED	Rep	Advising on securities	2020-12-07	2021-06-22
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2015-10-22	2019-11-08
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2014-06-30	2015-08-17
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2012-08-15	2013-07-03
	Rep	Dealing in securities	2012-08-15	2013-07-03
SOUTH CHINA CAPITAL LIMITED	Rep	Advising on corporate finance	2012-05-17	2012-06-27
313 CAPITAL MANAGEMENT LIMITED 313	Rep	Advising on securities	2012-03-26	2012-06-27
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2012-03-26	2012-06-27
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2010-11-30	2012-01-03
	Rep	Advising on securities	2009-11-04	2012-01-03