Personnel Hong Kong SFC License Details (ID 131498)

Personnel Hong Kong SFC License Details (ID 131498)

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
Vantage Capital Markets HK Limited	Rep	Dealing in securities	2022-06-16	2023-01-03
Alpha Win Capital Limited	Rep	Advising on securities	2020-03-18	2020-11-17
	Rep	Dealing in securities	2020-03-18	2020-11-17
BOCOM International Securities Limited	Rep	Advising on securities	2018-08-07	2019-12-31
BOCOM International (Asia) Limited	Rep	Dealing in securities	2015-07-13	2019-12-31
BOCOM International Securities Limited	Rep	Dealing in securities	2015-07-13	2019-12-31
MUFG Securities Asia Limited	Rep	Dealing in securities	2012-08-29	2015-04-17
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2011-09-20	2011-10-01
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-09-20	2011-10-01
	Rep	Dealing in securities	2011-09-20	2011-10-01