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HSBC SECURITIES BROKERS (ASIA) LIMITED 滙豐證券經紀(亞洲)有限公司

SFC Licensed
SFC ID:ACB389
CCASS ID:B01490
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SFC licences & institution history

Currently licensed
SFC ID:ACB389

HSBC Securities Brokers (Asia) Limited

3 former names

  1. James Capel Brokers Limited

    Earlier period—1996.03.26

    SFC name change: 1996.03.26

    No SFO licence period listed under this name

  2. HSBC James Capel Brokers Limited

    1996.03.26—1998.03.04

    SFC name change: 1998.03.04

    No SFO licence period listed under this name

  3. HSBC Securities Brokers Limited

    1998.03.04—1999.09.22

    SFC name change: 1999.09.22

    No SFO licence period listed under this name

  4. HSBC Securities Brokers (Asia) Limited

    1999.09.22—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 7TYPE 9
Licences of HSBC Securities Brokers (Asia) Limited (ACB389)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—Present
TYPE 4Advising on securities
  • 2003.04.01—2005.02.01
TYPE 6Advising on corporate finance
  • 2003.04.01—2005.02.01
TYPE 7Providing automated trading services
  • 2011.03.04—2024.07.10
TYPE 9Asset management
  • 2003.04.01—2005.02.01