Personnel Hong Kong SFC License Details (ID 104693)

Personnel Hong Kong SFC License Details (ID 104693)

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
Quam Securities Limited	Rep	Dealing in securities	2011-05-06	2011-06-01
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2009-02-04	2011-04-30
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2005-08-26	2009-01-31
GET NICE SECURITIES LIMITED	Rep	Dealing in securities	2005-06-01	2005-08-25
GREAT BAY SECURITIES LIMITED	Rep	Advising on corporate finance	-	2004-02-03
	Rep	Advising on securities	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in securities	-	2005-05-31