Personnel Hong Kong SFC License Details (ID 107236)

Personnel Hong Kong SFC License Details (ID 107236)

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
CHARLES SCHWAB, HONG KONG, LIMITED	Rep	Advising on futures contracts	2004-08-27	2004-12-14
	Rep	Advising on securities	2004-08-27	2004-12-14
	Rep	Dealing in securities	2004-03-25	2004-12-14
Boom Securities (H.K.) Limited	Rep	Advising on corporate finance	-	2004-02-20
	Rep	Advising on securities	-	2004-02-20
	Rep	Asset management	-	2004-02-20
	Rep	Providing automated trading services	-	2004-02-20
	Rep	Dealing in securities	-	2004-02-20
Win Securities Limited	Rep	Advising on corporate finance	-	2004-02-20
	Rep	Advising on securities	-	2004-02-20
	Rep	Asset management	-	2004-02-20
	Rep	Providing automated trading services	-	2004-02-20
	Rep	Dealing in securities	-	2004-02-20