Personnel Hong Kong SFC License Details (ID 107577)

Personnel Hong Kong SFC License Details (ID 107577)

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
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Rep	Dealing in securities	2010-09-29	2011-03-31
	Rep	Advising on securities	2008-05-05	2011-03-31
	Rep	Asset management	2008-05-05	2011-03-31
FT Securities Limited	Rep	Dealing in securities	2004-03-24	2004-08-02
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-03-24	2004-08-02
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2004-03-09
	Rep	Asset management	-	2004-03-09
	Rep	Dealing in futures contracts	-	2004-03-09
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Providing automated trading services	-	2003-09-11
	Rep	Advising on corporate finance	-	2004-03-09
	Rep	Advising on securities	-	2004-03-09
	Rep	Asset management	-	2004-03-09
	Rep	Dealing in securities	-	2004-03-09