Personnel Hong Kong SFC License Details (ID 93635)

Personnel Hong Kong SFC License Details (ID 93635)

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
ROTHSCHILD &AMP; CO HONG KONG LIMITED	RO	Advising on corporate finance	2006-12-05	2012-12-01
	RO	Advising on securities	2006-12-05	2012-12-01
	RO	Dealing in securities	2006-12-05	2012-12-01
	Rep	Advising on corporate finance	2006-09-01	2006-12-05
	Rep	Advising on securities	2006-09-01	2006-12-05
	Rep	Dealing in securities	2006-09-01	2006-12-05
DBS ASIA CAPITAL LIMITED	RO	Advising on corporate finance	2005-09-27	2006-07-08
	RO	Advising on securities	2005-09-27	2006-07-08
	RO	Dealing in securities	2005-09-27	2006-07-08
ARX ADVISORS LIMITED	RO	Advising on corporate finance	2003-12-04	2005-09-01