Personnel Hong Kong SFC License Details (ID 104779)

Personnel Hong Kong SFC License Details (ID 104779)

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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2008-05-16	2009-10-01
	Rep	Asset management	2008-05-16	2009-10-01
	Rep	Dealing in securities	2008-05-16	2009-10-01
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2006-03-31	2008-05-16
	Rep	Asset management	2006-03-31	2008-05-16
	Rep	Dealing in securities	2006-03-31	2008-05-16
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2005-05-12	2006-03-17
	Rep	Advising on securities	2005-05-12	2006-03-17
	Rep	Asset management	2005-05-12	2006-03-17
	Rep	Dealing in securities	2005-04-19	2006-03-17
FT Securities Limited	Rep	Dealing in securities	2005-01-28	2005-04-12
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-01-28	2005-04-12
HANG SENG FUTURES LIMITED	Rep	Advising on futures contracts	2003-12-23	2005-01-19
	Rep	Dealing in futures contracts	2003-12-23	2005-01-19
HANG SENG INVESTMENT SERVICES LIMITED	Rep	Advising on corporate finance	-	2003-11-05
	Rep	Asset management	-	2004-12-03
	Rep	Advising on securities	-	2005-01-19