Personnel Hong Kong SFC License Details (ID 69751)

Personnel Hong Kong SFC License Details (ID 69751)

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
Quam Securities Limited	Rep	Dealing in securities	2025-05-19	-
QUAM ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2023-03-31	-
	Rep	Asset management	2023-03-31	-
	Rep	Dealing in securities	2023-03-31	-
Crosby Securities Limited	Rep	Advising on securities	2022-10-31	2022-12-31
	Rep	Asset management	2022-10-31	2022-12-31
	Rep	Dealing in securities	2022-10-31	2022-12-31
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2016-10-11	2020-11-16
	Rep	Dealing in futures contracts	2016-07-13	2020-11-16
	RO	Dealing in futures contracts	2011-11-22	2013-06-11
	Rep	Dealing in futures contracts	2011-05-30	2011-11-22
	Rep	Dealing in securities	2011-05-30	2013-06-11
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-08-17	2011-02-26
	Rep	Dealing in securities	2004-07-13	2011-02-26
FT Securities Limited	Rep	Advising on corporate finance	2003-04-01	2004-03-09
	Rep	Advising on securities	2003-04-01	2004-03-09
	Rep	Asset management	2003-04-01	2004-03-09
	Rep	Dealing in securities	2003-04-01	2004-03-09