Personnel Hong Kong SFC License Details (ID 69018)

Personnel Hong Kong SFC License Details (ID 69018)

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
AD Capital Management (Hong Kong) Limited	RO	Advising on futures contracts	2004-09-08	-
	RO	Advising on securities	2004-09-08	-
	RO	Asset management	2004-09-08	-
HSBC Corporate Finance (Hong Kong) Limited	RO	Dealing in futures contracts	2003-09-05	2004-01-15
HSBC SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	2003-04-01	2003-09-05
	RO	Advising on securities	2003-04-01	2003-09-05
	RO	Asset management	2003-04-01	2003-09-05
	RO	Dealing in securities	2003-04-01	2004-01-15
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Advising on corporate finance	2003-04-01	2003-09-05
	RO	Advising on securities	2003-04-01	2003-09-05
	RO	Asset management	2003-04-01	2003-09-05
	RO	Dealing in securities	2003-04-01	2004-01-15
HSBC STRUCTURED FUNDS (ASIA) LIMITED	RO	Advising on futures contracts	2003-04-01	2003-09-05
	RO	Asset management	2003-04-01	2003-09-05
	RO	Dealing in futures contracts	2003-04-01	2003-09-05