Personnel Hong Kong SFC License Details (ID 116591)

Personnel Hong Kong SFC License Details (ID 116591)

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
MORGANS (HONG KONG) LIMITED	RO	Advising on securities	2023-03-21	2024-10-24
	RO	Dealing in securities	2023-03-21	2024-10-24
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2018-08-15	2020-09-25
	RO	Advising on securities	2018-08-15	2020-09-25
	RO	Dealing in futures contracts	2018-08-15	2020-09-25
	RO	Dealing in securities	2018-08-15	2020-09-25
	Rep	Advising on securities	2018-03-02	2018-08-15
	Rep	Dealing in securities	2018-03-02	2018-08-15
	Rep	Advising on securities	2012-06-19	2015-11-23
	Rep	Dealing in securities	2012-06-19	2015-11-23
	Rep	Advising on futures contracts	2011-11-15	2018-08-15
	Rep	Dealing in futures contracts	2011-11-15	2018-08-15
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-05-07	2011-08-16
	Rep	Dealing in futures contracts	2010-05-07	2011-08-16
	Rep	Dealing in securities	2010-05-07	2011-08-16
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-04-03	2010-03-24
	Rep	Dealing in securities	2005-08-10	2006-03-10