Personnel Hong Kong SFC License Details (ID 68333)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-11-14	2021-07-16
	Rep	Advising on securities	2018-11-14	2021-07-16
	Rep	Dealing in futures contracts	2018-11-14	2021-07-16
	Rep	Dealing in securities	2018-11-14	2021-07-16
	RO	Advising on futures contracts	2011-08-30	2018-11-14
	RO	Advising on securities	2011-08-30	2018-11-14
	RO	Dealing in futures contracts	2011-08-30	2018-11-14
	RO	Dealing in securities	2011-08-30	2018-11-14
	Rep	Advising on futures contracts	2011-07-20	2011-08-30
	Rep	Advising on securities	2011-07-20	2011-08-30
	Rep	Dealing in futures contracts	2011-07-20	2011-08-30
	Rep	Dealing in securities	2011-07-20	2011-08-30
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-06	2011-04-20
	Rep	Dealing in futures contracts	2008-11-06	2011-04-20
	Rep	Dealing in securities	2008-04-29	2011-04-20
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2008-04-29	2008-11-24
	Rep	Dealing in futures contracts	2008-04-29	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2008-04-29	2011-04-20
MF Global Hong Kong Limited	Rep	Advising on futures contracts	2008-03-06	2008-03-31
	Rep	Advising on securities	2008-03-06	2008-03-31
	Rep	Dealing in futures contracts	2008-03-06	2008-03-31
	Rep	Dealing in securities	2008-03-06	2008-03-31
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2007-08-29	2007-11-27
	Rep	Advising on securities	2007-08-29	2007-11-27
	Rep	Providing automated trading services	2007-08-29	2007-11-27
	Rep	Dealing in securities	2007-08-29	2007-11-27
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2007-08-29	2007-11-27
	Rep	Dealing in futures contracts	2007-08-29	2007-11-27