Personnel Hong Kong SFC License Details (ID 117938)

Personnel Hong Kong SFC License Details (ID 117938)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2025-08-08	-
	Rep	Dealing in securities	2025-08-08	-
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2024-02-08	2025-04-08
Credit Suisse (Hong Kong) Limited	RO	Advising on securities	2020-03-04	2023-10-26
	RO	Dealing in futures contracts	2020-03-04	2023-10-26
	RO	Dealing in securities	2020-03-04	2023-10-26
Credit Suisse Securities (Hong Kong) Limited	RO	Advising on securities	2020-03-04	2023-10-26
	RO	Providing automated trading services	2020-03-04	2023-10-26
	RO	Dealing in securities	2020-03-04	2023-10-26
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2018-11-01	2020-03-04
	Rep	Dealing in securities	2018-11-01	2020-03-04
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2018-11-01	2020-03-04
	Rep	Dealing in securities	2018-11-01	2020-03-04
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-10-02	2008-09-29
	Rep	Dealing in securities	2007-10-02	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2007-10-02	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-10-02	2008-09-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-02-20	2007-06-15
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-02-20	2007-06-15