Personnel Hong Kong SFC License Details (ID 2691429)

Personnel Hong Kong SFC License Details (ID 2691429)

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
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-05-13	2026-09-14
	Rep	Asset management	2026-05-13	2026-09-14
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2019-04-16	2025-09-05
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2017-12-13	2019-02-14
	Rep	Dealing in securities	2017-10-27	2019-02-14
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-01-26	2017-07-14
	Rep	Dealing in securities	2017-01-26	2017-07-14