Personnel Hong Kong SFC License Details (ID 2466007)

Personnel Hong Kong SFC License Details (ID 2466007)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Asset management	2021-09-06	-
	Rep	Advising on securities	2021-08-16	-
	Rep	Dealing in securities	2021-08-16	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2018-10-16	2021-05-10
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2018-10-08	2021-05-10
	Rep	Dealing in securities	2018-10-08	2021-05-10
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2017-10-10	2018-09-12
BOCI RESEARCH LIMITED	Rep	Advising on securities	2015-08-24	2017-09-01
BOCI SECURITIES LIMITED	Rep	Advising on securities	2015-08-24	2018-09-12