Personnel Hong Kong SFC License Details (ID 2588266)

Personnel Hong Kong SFC License Details (ID 2588266)

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
DWS Investments Hong Kong Limited	Rep	Advising on securities	2019-08-29	2019-08-30
	Rep	Dealing in securities	2019-08-29	2019-08-30
	Rep	Advising on securities	2018-11-13	2018-11-15
	Rep	Dealing in securities	2018-11-13	2018-11-15
	Rep	Advising on securities	2018-07-12	2018-07-13
	Rep	Dealing in securities	2018-07-12	2018-07-13
	Rep	Advising on securities	2017-07-31	2017-08-01
	Rep	Dealing in securities	2017-07-31	2017-08-01
	Rep	Advising on securities	2017-03-30	2017-03-31
	Rep	Dealing in securities	2017-03-30	2017-03-31
	Rep	Dealing in securities	2016-09-23	2016-09-27
	Rep	Dealing in securities	2016-06-06	2016-06-08