Personnel Hong Kong SFC License Details (ID 107676)

Personnel Hong Kong SFC License Details (ID 107676)

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
BEA Union Investment Management Limited	RO	Advising on securities	2017-05-04	-
	RO	Dealing in securities	2017-05-04	-
	Rep	Advising on securities	2014-06-24	2017-05-04
	Rep	Dealing in securities	2014-06-24	2017-05-04
China Securities (International) Asset Management Company Limited	RO	Advising on securities	2014-04-14	2014-05-24
	Rep	Asset management	2013-09-24	2014-05-24
China Securities (International) Brokerage Company Limited	RO	Advising on securities	2013-04-24	2014-05-24
	RO	Dealing in securities	2013-04-24	2014-05-24
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2012-02-06	2012-05-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2012-01-09	2012-05-28
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2011-09-03
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in securities	2010-11-02	2011-09-03
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	RO	Dealing in securities	2008-02-15	2010-11-20
	Rep	Dealing in securities	2007-11-09	2008-02-15
	RO	Dealing in securities	2007-03-02	2007-11-09
	Rep	Advising on corporate finance	2003-04-01	2004-01-08
	Rep	Advising on securities	2003-04-01	2004-01-08
	Rep	Asset management	2003-04-01	2004-01-08
	Rep	Dealing in securities	2003-04-01	2007-03-02