Personnel Hong Kong SFC License Details (ID 36124)

Personnel Hong Kong SFC License Details (ID 36124)

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
Comity Limited (HK)	RO	Advising on futures contracts	2017-06-19	2018-09-19
	RO	Dealing in futures contracts	2017-06-19	2018-09-19
BOCOM International Asset Management Limited	RO	Advising on securities	2013-10-10	2025-09-15
	RO	Dealing in securities	2013-10-10	2025-09-15
BOCOM International (Asia) Limited	RO	Advising on corporate finance	2008-08-19	2025-09-15
	RO	Dealing in securities	2008-08-19	2025-09-15
BOCOM International Asset Management Limited	RO	Asset management	2008-08-19	2025-09-15
BOCOM International Securities Limited	RO	Advising on futures contracts	2008-08-19	2025-09-15
	RO	Advising on securities	2008-08-19	2025-09-15
	RO	Dealing in futures contracts	2008-08-19	2025-09-15
	RO	Dealing in securities	2008-08-19	2025-09-15