Personnel Hong Kong SFC License Details (ID 121702)

Personnel Hong Kong SFC License Details (ID 121702)

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
Sunrise Brokers (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-03-05	2014-10-21
	Rep	Dealing in securities	2013-03-05	2014-10-21
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in futures contracts	2012-02-16	2013-01-14
	Rep	Dealing in securities	2012-02-16	2013-01-14
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-04-30	2011-08-31
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2010-04-27	2011-08-31
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	Dealing in securities	2010-04-27	2011-08-31
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2007-06-08	2010-03-16