Personnel Hong Kong SFC License Details (ID 126434)

Personnel Hong Kong SFC License Details (ID 126434)

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
OnePlatform Asset Management Limited	RO	Advising on securities	2023-04-13	2023-05-30
	RO	Dealing in securities	2023-04-13	2023-05-30
	Rep	Advising on securities	2023-02-28	2023-04-13
	Rep	Dealing in securities	2023-02-28	2023-04-13
	Rep	Asset management	2023-02-28	2023-05-30
Guotai Junan FX Limited	Rep	Leveraged foreign exchange trading	2010-11-17	2011-03-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2010-07-15	2010-09-09
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2010-07-15	2010-09-09
	Rep	Leveraged foreign exchange trading	2010-07-15	2010-09-09
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2008-10-16	2009-03-25
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-08-20	2009-03-25
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-20	2009-03-25
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-08-20	2009-03-25