Personnel Hong Kong SFC License Details (ID 92299)

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	2017-11-06	-
	RO	Advising on securities	2017-11-06	-
CLSA LIMITED	RO	Dealing in securities	2017-11-06	-
	RO	Advising on securities	2017-11-06	2021-07-28
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2017-05-22	2017-11-06
	Rep	Advising on securities	2017-05-22	2017-11-06
CLSA LIMITED	Rep	Advising on securities	2017-05-22	2017-11-06
	Rep	Dealing in securities	2017-05-22	2017-11-06
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2017-03-08	2017-04-08
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2017-03-08	2017-04-08
CITIC Securities (Hong Kong) Limited	RO	Advising on securities	2015-10-09	2017-01-28
CLSA LIMITED	RO	Dealing in securities	2015-10-09	2017-01-28
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2015-04-23	2015-10-09
	RO	Advising on corporate finance	2015-04-23	2017-01-28
CLSA LIMITED	Rep	Dealing in securities	2015-04-23	2015-10-09
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on corporate finance	2011-12-29	2016-01-01
	Rep	Advising on corporate finance	2011-10-11	2011-12-29
	Rep	Advising on securities	2011-10-11	2016-01-01
	Rep	Dealing in securities	2011-10-11	2016-01-01
PIPER JAFFRAY ASIA LIMITED	RO	Advising on corporate finance	2009-12-21	2011-10-01
	Rep	Advising on corporate finance	2009-11-06	2009-12-21
	RO	Advising on corporate finance	2009-10-08	2009-10-10
	Rep	Advising on securities	2003-04-01	2003-11-14
	Rep	Asset management	2003-04-01	2003-11-14
	Rep	Advising on corporate finance	2003-04-01	2009-10-08