Personnel Hong Kong SFC License Details (ID 1992739)

Personnel Hong Kong SFC License Details (ID 1992739)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2026-02-02	-
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2026-02-02	-
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2022-04-11	2025-12-16
	Rep	Dealing in securities	2022-04-11	2025-12-16
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2022-04-11	2025-12-16
CMB International Securities Limited	Rep	Advising on securities	2021-10-25	2022-03-18
	Rep	Dealing in securities	2021-10-25	2022-03-18
BOB International Asset Management Company Limited	Rep	Asset management	2018-04-17	2021-09-24
	Rep	Advising on securities	2018-03-08	2021-09-24
	Rep	Dealing in securities	2018-03-08	2021-09-24
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 futures contracts	2012-12-10	2018-02-14
	Rep	Advising on securities	2012-12-10	2018-02-14
	Rep	Dealing in futures contracts	2012-12-10	2018-02-14
	Rep	Dealing in securities	2012-12-10	2018-02-14