Personnel Hong Kong SFC License Details (ID 113945)

Personnel Hong Kong SFC License Details (ID 113945)

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
OPEN ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2009-07-06	2009-08-12
Open Securities Limited	Rep	Advising on securities	2009-07-06	2009-08-12
	Rep	Dealing in securities	2009-07-06	2009-08-12
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2009-03-02	2009-07-06
Open Securities Limited	RO	Advising on securities	2008-06-16	2009-07-06
	RO	Dealing in securities	2008-06-16	2009-07-06
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2004-07-02	2005-11-15
	RO	Dealing in securities	2004-07-02	2005-11-15