Personnel Hong Kong SFC License Details (ID 95078)

Personnel Hong Kong SFC License Details (ID 95078)

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
BOCI ASIA LIMITED	RO	Advising on corporate finance	2022-08-11	-
	RO	Dealing in securities	2022-08-11	-
BOCI SECURITIES LIMITED	RO	Advising on securities	2022-08-11	-
	RO	Dealing in securities	2022-08-11	-
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2015-01-16	2022-02-28
	RO	Advising on securities	2015-01-16	2022-02-28
	RO	Dealing in securities	2015-01-16	2022-02-28
	Rep	Advising on corporate finance	2014-10-15	2015-01-16
	Rep	Advising on securities	2014-10-15	2015-01-16
	Rep	Dealing in securities	2014-10-15	2015-01-16
Standard Chartered Securities (Hong Kong) Limited	RO	Advising on securities	2013-11-08	2014-07-15
	Rep	Advising on securities	2011-09-16	2013-11-08
	RO	Advising on corporate finance	2008-09-08	2014-07-15
	RO	Dealing in securities	2008-09-08	2014-07-15
	Rep	Advising on corporate finance	2006-10-11	2008-09-08
	Rep	Dealing in securities	2006-10-11	2008-09-08