Personnel Hong Kong SFC License Details (ID 107973)

Personnel Hong Kong SFC License Details (ID 107973)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2006-05-02	2008-05-19
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-05-02	2008-05-19
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2006-03-01	2006-04-24
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2006-03-01	2006-04-24
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-12-13	2005-11-16
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-12-13	2005-11-16
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in futures contracts	-	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-03
	Rep	Advising on securities	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in securities	-	2004-12-11