Personnel Hong Kong SFC License Details (ID 105985)

Personnel Hong Kong SFC License Details (ID 105985)

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
RHB ASSET MANAGEMENT LIMITED	Rep	Asset management	2009-09-24	2011-01-13
RHB FUTURES HONG KONG LIMITED	RO	Dealing in futures contracts	2009-09-24	2011-08-31
RHB SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2009-09-24	2011-08-31
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-03-09	2009-09-24
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-03-09	2009-09-24
	Rep	Advising on securities	2009-03-09	2011-08-31
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2004-04-30	2009-02-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2004-04-30	2009-02-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-02-26
	Rep	Asset management	-	2004-02-26
	Rep	Dealing in futures contracts	-	2009-02-01