Personnel Hong Kong SFC License Details (ID 121044)

Personnel Hong Kong SFC License Details (ID 121044)

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
BOCHK Asset Management Limited	RO	Advising on securities	2016-04-05	-
	RO	Asset management	2016-04-05	-
	RO	Dealing in securities	2016-04-05	-
	Rep	Advising on securities	2016-02-24	2016-04-05
	Rep	Asset management	2016-02-24	2016-04-05
	Rep	Dealing in securities	2016-02-24	2016-04-05
China Vered Securities Limited	RO	Dealing in securities	2013-12-03	2015-09-29
Alphamax Asset Management (HK) Limited	RO	Asset management	2012-08-06	2016-02-14
VTB Capital Hong Kong Limited	RO	Advising on securities	2011-06-30	2011-12-08
	RO	Dealing in securities	2011-06-30	2011-12-08
MUFG Securities Asia Limited	RO	Dealing in securities	2010-12-31	2011-03-19
MUSHK Limited	RO	Dealing in securities	2009-08-17	2011-03-19
	Rep	Dealing in securities	2007-04-02	2009-08-17