Personnel Hong Kong SFC License Details (ID 103693)

Personnel Hong Kong SFC License Details (ID 103693)

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
Neuberger Berman Asia Limited	Rep	Dealing in securities	2010-04-23	2010-06-04
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2008-05-05	2009-03-07
	Rep	Dealing in securities	2008-05-05	2009-03-07
MIRABAUD (ASIA) LIMITED	Rep	Advising on securities	2007-07-10	2008-04-01
STANHILL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2006-04-04	2007-03-31
	Rep	Advising on securities	2006-04-04	2007-03-31
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-06-02	2006-03-27
MIB SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-05-06
	Rep	Advising on securities	-	2003-05-06
	Rep	Asset management	-	2003-05-06
	Rep	Dealing in securities	-	2006-03-27