Personnel Hong Kong SFC License Details (ID 106036)

Personnel Hong Kong SFC License Details (ID 106036)

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
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in securities	2008-01-28	2008-11-14
DBS TD WATERHOUSE SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	-	2004-02-13
	Rep	Advising on securities	-	2004-02-13
	Rep	Asset management	-	2004-02-13
	Rep	Dealing in securities	-	2004-02-13
DBS VICKERS SECURITIES ONLINE (HK) LIMITED	Rep	Advising on corporate finance	-	2004-07-19
	Rep	Advising on securities	-	2004-07-19
	Rep	Asset management	-	2004-07-19
	Rep	Dealing in securities	-	2008-06-01
TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC. TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC.	Rep	Advising on corporate finance	-	2003-11-07
	Rep	Advising on securities	-	2003-11-07
	Rep	Asset management	-	2003-11-07
	Rep	Dealing in securities	-	2003-11-07