Personnel Hong Kong SFC License Details (ID 97627)

Personnel Hong Kong SFC License Details (ID 97627)

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
CLSA LIMITED	Rep	Advising on securities	2021-04-01	-
HAITONG INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2020-01-13	2021-03-05
Xuanwu Capital Management Limited	Rep	Advising on securities	2019-07-18	2019-10-17
	Rep	Asset management	2019-07-18	2019-10-17
China Asset Management (Hong Kong) Limited	Rep	Asset management	2018-03-19	2019-02-13
	Rep	Dealing in securities	2018-03-19	2019-02-13
	Rep	Advising on securities	2018-03-12	2019-02-13
BOCI RESEARCH LIMITED	Rep	Advising on securities	2014-05-12	2018-02-23
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2011-07-18	2014-04-25