Personnel Hong Kong SFC License Details (ID 11148)

Personnel Hong Kong SFC License Details (ID 11148)

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
China Galaxy International Futures (Hong Kong) Co., Limited	RO	Dealing in futures contracts	2017-09-21	2022-09-13
China Galaxy International Asset Management (Hong Kong) Co., Limited	RO	Advising on securities	2013-02-25	2022-09-13
	RO	Asset management	2013-02-25	2022-09-13
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on corporate finance	2012-07-23	2022-09-13
	RO	Advising on securities	2012-03-13	2022-09-13
	RO	Dealing in securities	2011-09-12	2022-09-13
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Advising on securities	2007-04-03	2011-04-07
	RO	Dealing in securities	2007-04-03	2011-04-07
PIPER JAFFRAY ASIA LIMITED	RO	Advising on corporate finance	2005-06-17	2011-04-07
	RO	Dealing in securities	2005-06-17	2011-04-07
Polaris Capital (Asia) Limited	RO	Advising on corporate finance	-	2005-01-12
	RO	Dealing in securities	-	2005-01-12
Yuanta Asia Investment (Hong Kong) Limited	RO	Advising on corporate finance	-	2004-11-04