Personnel Hong Kong SFC License Details (ID 105478)

Personnel Hong Kong SFC License Details (ID 105478)

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
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-04-19	2010-08-05
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2007-10-08	2009-04-15
	Rep	Advising on corporate finance	-	2005-02-07
	Rep	Advising on securities	-	2005-02-07
	Rep	Asset management	-	2005-02-07
	Rep	Dealing in securities	-	2009-04-15
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2005-02-07
	Rep	Asset management	-	2005-02-07
	Rep	Dealing in futures contracts	-	2007-11-01