Personnel Hong Kong SFC License Details (ID 69480)

Personnel Hong Kong SFC License Details (ID 69480)

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
UX SECURITIES LIMITED	Rep	Dealing in securities	2021-01-04	2021-04-14
BARCLAYS CAPITAL ASIA LIMITED	RO	Dealing in securities	2007-07-31	2012-06-08
	Rep	Dealing in securities	2006-07-27	2007-07-31
	Rep	Dealing in futures contracts	2006-07-27	2012-06-08
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-04-12	2005-11-14
	Rep	Advising on corporate finance	-	2003-12-16
	Rep	Advising on securities	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Dealing in securities	-	2003-12-16
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-12-16
	Rep	Advising on securities	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Dealing in securities	-	2006-06-20
HSBC STRUCTURED FUNDS (ASIA) LIMITED	Rep	Advising on futures contracts	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Dealing in futures contracts	-	2003-12-16