Personnel Hong Kong SFC License Details (ID 70639)

Personnel Hong Kong SFC License Details (ID 70639)

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
uSmart Securities Limited	RO	Advising on securities	2019-01-21	2021-12-31
	RO	Asset management	2019-01-21	2021-12-31
	RO	Dealing in securities	2019-01-21	2021-12-31
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on securities	2015-07-06	2018-07-20
	RO	Asset management	2015-07-06	2018-07-20
	RO	Dealing in futures contracts	2015-07-06	2018-07-20
	RO	Dealing in securities	2015-07-06	2018-07-20
	Rep	Dealing in futures contracts	2015-06-30	2015-06-30
	Rep	Advising on securities	2015-05-13	2015-07-06
	Rep	Asset management	2015-05-13	2015-07-06
	Rep	Dealing in securities	2015-05-13	2015-07-06
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2010-04-12	2012-08-02
	Rep	Asset management	2010-04-12	2012-08-02
	Rep	Dealing in securities	2010-04-12	2012-08-02
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Advising on securities	2005-06-16	2010-07-02
	Rep	Asset management	2005-06-16	2010-07-02
	Rep	Dealing in securities	2005-06-16	2010-11-08