Personnel Hong Kong SFC License Details (ID 113770)

Personnel Hong Kong SFC License Details (ID 113770)

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
CHARTWELL CAPITAL LIMITED (HK)	Rep	Advising on securities	2019-07-03	2019-12-31
	Rep	Asset management	2019-07-03	2019-12-31
	RO	Advising on securities	2008-11-21	2019-07-03
	RO	Asset management	2008-02-05	2019-07-03
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2004-09-02	2006-09-01
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-04-27	2006-09-01
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-27	2006-09-01
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-04-27	2006-09-01