Personnel Hong Kong SFC License Details (ID 102594)

Personnel Hong Kong SFC License Details (ID 102594)

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
FT Securities Limited	RO	Advising on futures contracts	2005-10-06	2006-09-30
	RO	Dealing in futures contracts	2005-10-06	2006-09-30
	RO	Asset management	2005-09-30	2006-05-30
	RO	Advising on securities	2005-09-30	2006-09-30
	RO	Dealing in securities	2005-09-30	2006-09-30
JEFFERIES BACHE (HONG KONG) LIMITED	RO	Dealing in futures contracts	2005-09-30	2005-10-04
FT Securities Limited	Rep	Advising on corporate finance	-	2004-05-14
	Rep	Advising on securities	-	2004-05-14
	Rep	Asset management	-	2004-05-14
	Rep	Dealing in securities	-	2005-09-30
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-05-14
	Rep	Asset management	-	2004-05-14
	Rep	Dealing in futures contracts	-	2005-09-30