Personnel Hong Kong SFC License Details (ID 112133)

Personnel Hong Kong SFC License Details (ID 112133)

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
Deltroit (Hong Kong) Limited	RO	Advising on securities	2014-04-09	2018-10-09
	RO	Asset management	2014-04-09	2018-10-09
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-04-11	2007-12-31
	Rep	Dealing in securities	2007-04-11	2008-05-29
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2003-10-22	2007-02-24
	Rep	Dealing in securities	2003-10-22	2007-02-24
	Rep	Advising on corporate finance	-	2003-09-17
	Rep	Advising on securities	-	2003-09-17
	Rep	Asset management	-	2003-09-17
	Rep	Providing automated trading services	-	2003-09-17
	Rep	Dealing in securities	-	2003-09-17