Personnel Hong Kong SFC License Details (ID 2371396)

Personnel Hong Kong SFC License Details (ID 2371396)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	RO	Advising on futures contracts	2020-03-31	-
	RO	Advising on securities	2020-03-31	-
	RO	Dealing in futures contracts	2020-03-31	-
	RO	Dealing in securities	2020-03-31	-
	Rep	Advising on futures contracts	2020-02-11	2020-03-31
	Rep	Advising on securities	2020-02-11	2020-03-31
	Rep	Dealing in futures contracts	2020-02-11	2020-03-31
	Rep	Dealing in securities	2020-02-11	2020-03-31
	Rep	Advising on futures contracts	2017-06-26	2018-06-01
	Rep	Dealing in futures contracts	2017-06-26	2018-06-01
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2017-05-25	2017-08-01
	Rep	Dealing in securities	2017-05-25	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2015-01-15	2018-06-01
	Rep	Dealing in securities	2015-01-15	2018-06-01