Personnel Hong Kong SFC License Details (ID 2124138)

Personnel Hong Kong SFC License Details (ID 2124138)

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
GF Asset Management (Hong Kong) Limited	Rep	Asset management	2025-04-23	2026-04-23
GF Securities (Hong Kong) Brokerage Limited	Rep	Advising on securities	2024-07-09	2026-04-23
	Rep	Dealing in securities	2024-07-09	2026-04-23
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2021-02-17	2024-03-11
	Rep	Dealing in securities	2021-02-17	2024-03-11
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2019-04-25	2021-01-11
	Rep	Dealing in securities	2018-05-18	2021-01-11
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2017-03-13	2018-04-26
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2014-02-20	2017-02-23
BOCI RESEARCH LIMITED	Rep	Advising on securities	2013-08-29	2014-01-06
BOCI SECURITIES LIMITED	Rep	Advising on securities	2013-08-29	2017-02-23