Personnel Hong Kong SFC License Details (ID 129379)

Personnel Hong Kong SFC License Details (ID 129379)

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	2025-01-27	-
	Rep	Dealing in securities	2025-01-27	-
Morgan Stanley Asia Limited	Rep	Dealing in securities	2020-08-25	2024-08-27
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2020-08-25	2024-08-27
	Rep	Dealing in futures contracts	2020-08-25	2024-08-27
	Rep	Dealing in securities	2020-08-25	2024-08-27
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2017-02-09	2020-06-05
	Rep	Dealing in futures contracts	2017-02-09	2020-06-05
	Rep	Dealing in securities	2014-01-13	2014-04-01
	Rep	Advising on futures contracts	2012-07-25	2014-04-01
	Rep	Dealing in futures contracts	2012-07-25	2014-04-01
	Rep	Advising on futures contracts	2010-03-01	2010-09-17
	Rep	Advising on securities	2010-03-01	2010-09-17
	Rep	Dealing in futures contracts	2010-03-01	2010-09-17
	Rep	Dealing in securities	2010-03-01	2010-09-17