Personnel Hong Kong SFC License Details (ID 70651)

Personnel Hong Kong SFC License Details (ID 70651)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2023-01-10	-
	Rep	Dealing in securities	2022-08-31	2023-01-10
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2020-04-16	2022-05-11
	Rep	Dealing in securities	2020-04-15	2022-05-11
DEUTSCHE SECURITIES ASIA LIMITED	RO	Providing automated trading services	2019-10-22	2020-04-14
	RO	Dealing in securities	2019-10-22	2020-04-14
	Rep	Providing automated trading services	2014-10-29	2019-10-22
	Rep	Dealing in securities	2014-10-29	2019-10-22
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-10-22	2014-07-21
	Rep	Providing automated trading services	2009-12-17	2014-07-21
	Rep	Dealing in securities	2009-12-17	2014-07-21