Personnel Hong Kong SFC License Details (ID 107760)

Personnel Hong Kong SFC License Details (ID 107760)

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
Quam Securities Limited	Rep	Dealing in futures contracts	2015-12-23	2021-10-18
	Rep	Dealing in securities	2015-12-23	2021-10-18
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2014-05-26	2015-11-27
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2014-05-26	2015-11-27
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-05-26	2015-11-27
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-01-29	2014-05-15
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-03-08	2014-05-15
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	-	2003-09-02
	Rep	Advising on corporate finance	-	2004-09-10
	Rep	Advising on securities	-	2004-09-10
	Rep	Asset management	-	2004-09-10
	Rep	Dealing in securities	-	2011-04-01
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-09-10
	Rep	Advising on securities	-	2004-09-10
	Rep	Asset management	-	2004-09-10
	Rep	Dealing in securities	-	2011-04-01