Personnel Hong Kong SFC License Details (ID 2019843)

Personnel Hong Kong SFC License Details (ID 2019843)

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
Soochow Securities International Asset Management Limited	RO	Advising on securities	2023-09-28	-
	RO	Asset management	2023-09-28	-
Soochow Securities International Brokerage Limited	RO	Advising on securities	2019-11-13	-
	RO	Dealing in securities	2019-11-13	-
Soochow Securities International Futures Limited	RO	Advising on futures contracts	2019-11-13	-
	RO	Dealing in futures contracts	2019-11-13	-
Soochow Securities International Brokerage Limited	Rep	Advising on securities	2019-07-30	2019-11-13
	Rep	Dealing in securities	2019-07-30	2019-11-13
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2019-07-30	2019-11-13
BOCOM International Securities Limited	RO	Dealing in securities	2016-07-15	2019-05-30
	Rep	Advising on securities	2014-12-22	2019-05-30
	Rep	Dealing in futures contracts	2014-12-22	2019-05-30
BOCOM International Asset Management Limited	Rep	Asset management	2014-09-26	2014-12-04
BOCOM International Securities Limited	Rep	Dealing in securities	2013-09-09	2016-07-15