Personnel Hong Kong SFC License Details (ID 68335)

Personnel Hong Kong SFC License Details (ID 68335)

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
RED CLIFF ASSET MANAGEMENT LIMITED	RO	Asset management	2012-08-15	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2008-12-08	2012-02-28
	RO	Dealing in securities	2008-12-08	2012-02-28
BEAR STEARNS ASIA LIMITED	RO	Advising on futures contracts	2008-07-17	2009-11-30
	RO	Advising on securities	2008-07-17	2009-11-30
	RO	Dealing in futures contracts	2008-07-17	2009-11-30
	RO	Dealing in securities	2008-07-17	2009-11-30
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2008-07-17	2012-02-28
	RO	Dealing in futures contracts	2008-07-17	2012-02-28
	RO	Advising on securities	2005-08-18	2012-02-28
	RO	Dealing in securities	2005-08-18	2012-02-28
	Rep	Advising on futures contracts	2004-07-27	2008-07-17
	Rep	Dealing in futures contracts	2004-07-27	2008-07-17
	Rep	Advising on corporate finance	2003-04-01	2003-12-02
	Rep	Asset management	2003-04-01	2003-12-02
	Rep	Providing automated trading services	2003-04-01	2003-12-02
	Rep	Advising on securities	2003-04-01	2005-08-18
	Rep	Dealing in securities	2003-04-01	2005-08-18