Personnel Hong Kong SFC License Details (ID 95100)

Personnel Hong Kong SFC License Details (ID 95100)

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
HAITONG INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2014-03-31	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on securities	2014-03-31	-
	RO	Dealing in securities	2014-03-31	-
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2012-06-29	2014-03-31
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2012-06-29	2014-03-31
	Rep	Dealing in securities	2012-06-29	2014-03-31
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2011-09-22	2012-03-15
	Rep	Advising on corporate finance	2005-06-09	2012-03-15
	Rep	Dealing in securities	2005-06-09	2012-03-15
DBS ASIA CAPITAL LIMITED	Rep	Asset management	2003-04-01	2005-02-15
	Rep	Advising on corporate finance	2003-04-01	2005-05-10
	Rep	Advising on securities	2003-04-01	2005-05-10
	Rep	Dealing in securities	2003-04-01	2005-05-10