Personnel Hong Kong SFC License Details (ID 2351539)

Personnel Hong Kong SFC License Details (ID 2351539)

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
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2022-05-10	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2022-05-10	-
DBS VICKERS (HONG KONG) LIMITED	Rep	Advising on securities	2019-07-08	2021-10-15
	Rep	Dealing in securities	2019-07-08	2022-04-19
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2018-10-03	2019-05-30
	Rep	Asset management	2018-10-03	2019-05-30
	Rep	Dealing in securities	2018-10-03	2019-05-30
SPDB International Capital Limited	Rep	Dealing in securities	2017-09-15	2018-09-17
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2016-07-29	2017-07-24
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2015-10-20	2017-07-24
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2014-11-27	2015-09-26
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2014-11-27	2015-09-26
	Rep	Dealing in securities	2014-11-27	2015-09-26