Personnel Hong Kong SFC License Details (ID 93283)

Personnel Hong Kong SFC License Details (ID 93283)

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
UOB KAY HIAN (HONG KONG) LIMITED	RO	Advising on corporate finance	2020-04-16	-
	Rep	Dealing in securities	2020-01-21	-
	Rep	Advising on corporate finance	2020-01-21	2020-04-16
CGS International Securities Hong Kong Limited	RO	Advising on corporate finance	2017-09-26	2019-07-25
	Rep	Advising on corporate finance	2012-07-03	2017-09-26
	Rep	Dealing in securities	2012-07-03	2019-07-25
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2008-03-17	2012-06-30
	Rep	Dealing in securities	2008-03-17	2012-06-30