Personnel Hong Kong SFC License Details (ID 133383)

Personnel Hong Kong SFC License Details (ID 133383)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2019-10-04	-
	Rep	Advising on securities	2019-10-04	-
	Rep	Dealing in futures contracts	2019-10-04	-
	Rep	Dealing in securities	2019-10-04	-
	Rep	Advising on futures contracts	2017-12-14	2018-07-09
	Rep	Dealing in futures contracts	2017-12-14	2018-07-09
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2013-07-04	2017-08-01
	Rep	Dealing in securities	2013-07-04	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2011-11-04	2018-07-09
	Rep	Dealing in securities	2011-11-04	2018-07-09