Personnel Hong Kong SFC License Details (ID 128432)

Personnel Hong Kong SFC License Details (ID 128432)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2023-07-25	2024-03-31
	RO	Dealing in futures contracts	2023-07-25	2024-03-31
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2023-07-25	2024-03-31
	RO	Dealing in securities	2023-07-25	2024-03-31
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-07-29	2023-07-25
	Rep	Dealing in futures contracts	2021-07-29	2023-07-25
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2021-07-29	2023-07-25
	Rep	Dealing in securities	2021-07-29	2023-07-25
	Rep	Advising on corporate finance	2013-12-02	2015-05-20
	Rep	Advising on securities	2013-12-02	2015-05-20
	Rep	Dealing in securities	2013-12-02	2015-05-20
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2009-08-17	2010-05-07