Personnel Hong Kong SFC License Details (ID 59156)

Personnel Hong Kong SFC License Details (ID 59156)

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
JOLMO CAPITAL LIMITED	RO	Advising on corporate finance	2014-01-02	2017-02-16
	RO	Advising on securities	2014-01-02	2017-02-16
	RO	Asset management	2014-01-02	2017-02-16
	Rep	Advising on corporate finance	2013-12-03	2014-01-02
	Rep	Advising on securities	2013-12-03	2014-01-02
	Rep	Asset management	2013-12-03	2014-01-02
CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2012-03-28	2012-08-31
	RO	Asset management	2012-03-28	2012-08-31
	RO	Dealing in securities	2012-03-28	2012-08-31
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2012-01-16	2013-08-14
	Rep	Dealing in securities	2012-01-16	2013-08-14
HSBC BROKING (CHINA) LIMITED	RO	Dealing in securities	2009-12-31	2011-10-08
HSBC BROKING FOREX (ASIA) LIMITED	RO	Leveraged foreign exchange trading	2009-12-31	2011-10-08
HSBC BROKING FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2009-12-31	2011-10-08
HSBC BROKING FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2009-12-31	2011-10-08
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	Dealing in securities	2009-12-31	2011-10-08
HSBC BROKING SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2009-12-31	2011-10-08