Personnel Hong Kong SFC License Details (ID 70739)

Personnel Hong Kong SFC License Details (ID 70739)

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
ALPINE CORPORATE FINANCE LIMITED	RO	Advising on corporate finance	2018-12-21	2021-11-30
ALPINE SECURITIES LIMITED	RO	Advising on securities	2018-07-31	2021-03-10
	RO	Dealing in securities	2018-07-31	2021-03-10
BOCI ASIA LIMITED	RO	Advising on corporate finance	2015-07-20	2017-08-16
	RO	Dealing in securities	2015-07-20	2017-08-16
BOCI SECURITIES LIMITED	RO	Dealing in securities	2015-07-20	2017-08-16
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2007-10-10	2015-07-20
	Rep	Dealing in securities	2007-10-10	2015-07-20
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-10-14	2007-09-27
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-01-13
	Rep	Asset management	-	2004-01-13
	Rep	Dealing in futures contracts	-	2007-09-27
BOCI SECURITIES LIMITED	Rep	Advising on corporate finance	-	2004-01-12
	Rep	Advising on securities	-	2004-01-12
	Rep	Asset management	-	2004-01-12
	Rep	Dealing in securities	-	2015-07-20