Personnel Hong Kong SFC License Details (ID 113909)

Personnel Hong Kong SFC License Details (ID 113909)

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
Oasis Management (Hong Kong)	Rep	Advising on futures contracts	2013-03-28	2016-05-17
	Rep	Advising on securities	2013-03-28	2016-05-17
	Rep	Asset management	2013-03-28	2016-05-17
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2008-05-21	2008-07-30
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-08-23	2006-11-09
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-08-23	2006-11-09
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	Dealing in securities	2005-08-23	2006-11-09
Macquarie Asia Securities Limited	Rep	Dealing in futures contracts	2005-08-04	2005-08-12
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-06-07	2005-08-12
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-07-15	2005-03-14
	Rep	Dealing in securities	2004-05-19	2005-03-14