Personnel Hong Kong SFC License Details (ID 110836)

Personnel Hong Kong SFC License Details (ID 110836)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2021-12-22	2023-12-15
	Rep	Dealing in securities	2021-12-09	2023-12-15
Lucky Guosheng Securities Limited	Rep	Dealing in securities	2020-09-15	2021-07-22
AS CAPITAL LIMITED	RO	Dealing in securities	2019-06-10	2019-09-30
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-06-25	2018-10-28
	RO	Dealing in securities	2014-10-24	2018-10-28
	Rep	Dealing in securities	2014-06-30	2014-10-24
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2013-09-30	2014-05-24
SJS Markets Limited	Rep	Advising on securities	2006-09-25	2007-04-10
	Rep	Dealing in securities	2006-09-25	2007-04-10
FIL Investment Management (Hong Kong) Limited	Rep	Dealing in securities	2004-10-15	2005-12-16
FIL Investment Advisors	Rep	Asset management	2004-06-07	2005-12-16
FIL Investment Management (Hong Kong) Limited	Rep	Asset management	2004-06-07	2005-12-16
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-05-15
	Rep	Advising on futures contracts	-	2004-05-15
	Rep	Advising on securities	-	2004-05-15
	Rep	Asset management	-	2004-05-15
	Rep	Dealing in futures contracts	-	2004-05-15
	Rep	Dealing in securities	-	2004-05-15