Personnel Hong Kong SFC License Details (ID 111869)

Personnel Hong Kong SFC License Details (ID 111869)

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
HARRIS FRASER (INTERNATIONAL) LIMITED	Rep	Advising on securities	2014-07-11	-
	Rep	Asset management	2014-07-11	-
	Rep	Dealing in securities	2014-07-11	-
	Rep	Asset management	2010-06-10	2011-06-30
	Rep	Providing automated trading services	2010-06-10	2011-06-30
	Rep	Dealing in securities	2010-06-10	2011-06-30
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2009-11-02	2010-06-03
Tiger Securities Asset Management Company Limited	Rep	Advising on securities	2009-09-02	2009-10-08
	Rep	Dealing in securities	2009-08-25	2009-10-08
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-02-25	2009-08-12
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-04-17	2008-01-04
Quam Securities Limited	Rep	Advising on securities	2006-02-23	2007-01-15
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2003-11-08	2006-01-21
GLOBAL INVESTMENT ADVISORS LIMITED	Rep	Advising on securities	2003-04-01	2003-08-12