Personnel Hong Kong SFC License Details (ID 2039856)

Personnel Hong Kong SFC License Details (ID 2039856)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2019-09-06	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2019-06-18	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2019-06-06	-
	Rep	Dealing in securities	2019-06-06	-
ICBC UBS Asset Management (International) Company Limited	Rep	Advising on securities	2017-04-18	2019-05-22
	Rep	Asset management	2017-04-18	2019-05-22
	Rep	Dealing in securities	2017-04-18	2019-05-22
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2013-03-26	2017-02-28