Personnel Hong Kong SFC License Details (ID 110975)

Personnel Hong Kong SFC License Details (ID 110975)

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
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in futures contracts	2007-05-08	2011-02-24
	Rep	Dealing in securities	2007-05-08	2011-02-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2005-07-22	2007-03-26
	Rep	Dealing in securities	2005-07-20	2007-03-26
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2004-04-02	2005-07-13
	Rep	Providing automated trading services	2004-04-02	2005-07-13
	Rep	Dealing in securities	2004-04-02	2005-07-13
BLOOMBERG TRADEBOOK HONG KONG LIMITED	RO	Advising on corporate finance	-	2003-05-23
	RO	Advising on securities	-	2003-05-23
	RO	Asset management	-	2003-05-23
	RO	Dealing in securities	-	2003-05-23