Personnel Hong Kong SFC License Details (ID 113433)

Personnel Hong Kong SFC License Details (ID 113433)

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
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2015-03-04	2018-04-13
	Rep	Dealing in futures contracts	2015-03-04	2018-04-13
	Rep	Dealing in securities	2015-03-04	2018-04-13
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2008-10-20	2011-02-09
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2008-07-14	2008-07-23
	Rep	Advising on securities	2008-07-14	2008-07-23
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2008-07-14	2008-07-23
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-18	2008-07-23
	Rep	Dealing in securities	2008-06-18	2008-07-23
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Dealing in securities	2008-06-18	2008-07-23
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2006-09-11	2008-07-23
	Rep	Dealing in securities	2006-09-11	2008-07-23
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-06-14	2006-08-16
	Rep	Dealing in securities	2004-02-09	2006-08-16