Personnel Hong Kong SFC License Details (ID 107359)

Personnel Hong Kong SFC License Details (ID 107359)

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 INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2004-04-30	2004-07-20
RBC FUTURES SERVICES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-04-02	2004-07-20
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Dealing in securities	2004-04-02	2004-07-20
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-03-23	2004-03-30
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-03-23	2004-03-30
CES Commodities (HK) Limited	Rep	Advising on futures contracts	-	2003-11-17
	Rep	Asset management	-	2003-11-17
	Rep	Dealing in futures contracts	-	2004-03-10
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	-	2004-03-10
Everbright Securities Digital Finance (HK) Limited	Rep	Advising on corporate finance	-	2003-11-17
	Rep	Advising on securities	-	2003-11-17
	Rep	Asset management	-	2003-11-17
	Rep	Providing automated trading services	-	2003-11-17
	Rep	Dealing in securities	-	2004-03-10
Everbright Securities Investment Services (HK) Limited	Rep	Providing automated trading services	-	2003-07-07
	Rep	Advising on corporate finance	-	2003-11-17
	Rep	Advising on securities	-	2003-11-17
	Rep	Asset management	-	2003-11-17
	Rep	Dealing in securities	-	2004-03-10