Personnel Hong Kong SFC License Details (ID 104285)

Personnel Hong Kong SFC License Details (ID 104285)

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
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-03-12	2010-03-25
	Rep	Dealing in securities	2009-03-12	2010-03-25
	Rep	Dealing in futures contracts	2006-06-13	2008-12-01
	Rep	Dealing in securities	2006-06-13	2008-12-01
ROCTEC FUTURES TRADING COMPANY LIMITED	Rep	Advising on futures contracts	-	2005-03-07
	Rep	Asset management	-	2005-03-07
	Rep	Dealing in futures contracts	-	2006-03-29
ROCTEC SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2005-03-07
	Rep	Advising on securities	-	2005-03-07
	Rep	Asset management	-	2005-03-07
	Rep	Dealing in securities	-	2006-03-29