Personnel Hong Kong SFC License Details (ID 115128)

Personnel Hong Kong SFC License Details (ID 115128)

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
Canaccord Genuity (Hong Kong) Limited	RO	Advising on corporate finance	2014-04-07	2016-09-05
	RO	Advising on securities	2012-09-12	2016-09-05
	RO	Dealing in securities	2012-09-12	2016-09-05
KEEFE, BRUYETTE &AMP; WOODS ASIA LIMITED	RO	Advising on corporate finance	2010-03-03	2012-07-26
	RO	Dealing in securities	2010-03-03	2012-07-26
FOX-PITT, KELTON (ASIA) LIMITED	RO	Advising on corporate finance	2005-03-23	2009-10-16
	RO	Advising on securities	2005-03-23	2009-10-16
	RO	Dealing in securities	2005-03-23	2009-10-16