Personnel Hong Kong SFC License Details (ID 2026941)

Personnel Hong Kong SFC License Details (ID 2026941)

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
HARRIS FRASER (INTERNATIONAL) LIMITED	Rep	Advising on securities	2020-08-17	2020-10-28
	Rep	Asset management	2020-08-17	2020-10-28
	Rep	Dealing in securities	2020-08-17	2020-10-28
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Asset management	2019-01-07	2020-05-16
	Rep	Advising on securities	2015-09-09	2020-05-16
	Rep	Dealing in futures contracts	2015-09-09	2020-05-16
	Rep	Dealing in securities	2015-09-09	2020-05-16
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-03-04	2014-05-03