Personnel Hong Kong SFC License Details (ID 1926976)

Personnel Hong Kong SFC License Details (ID 1926976)

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
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Advising on securities	2024-02-16	-
	RO	Dealing in securities	2024-02-16	-
	Rep	Advising on securities	2022-11-16	2024-02-16
	Rep	Dealing in securities	2022-11-16	2024-02-16
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2021-02-25	2022-02-28
NATIXIS ASIA LIMITED	Rep	Advising on securities	2018-08-21	2020-11-10
	Rep	Dealing in securities	2018-08-21	2020-11-10
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2014-02-07	2015-10-27
	Rep	Advising on futures contracts	2013-02-27	2015-10-27
	Rep	Dealing in futures contracts	2013-02-27	2015-10-27
	Rep	Dealing in securities	2012-07-18	2015-10-27