Personnel Hong Kong SFC License Details (ID 70829)

Personnel Hong Kong SFC License Details (ID 70829)

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
Avenue Family Office Limited	Rep	Advising on securities	2018-12-12	2021-09-15
	Rep	Asset management	2018-12-12	2021-09-15
	Rep	Dealing in securities	2018-12-12	2021-09-15
BOCI ASSET MANAGEMENT LIMITED	RO	Asset management	2012-02-29	2014-06-30
BOCI SECURITIES LIMITED	RO	Advising on securities	2012-02-29	2015-12-15
	RO	Dealing in futures contracts	2012-02-29	2015-12-15
	RO	Dealing in securities	2012-02-29	2015-12-15
BOCI ASSET MANAGEMENT LIMITED	Rep	Asset management	2010-12-02	2012-02-29
BOCI SECURITIES LIMITED	Rep	Advising on securities	2010-12-02	2012-02-29
	Rep	Dealing in futures contracts	2010-12-02	2012-02-29
	Rep	Dealing in securities	2010-08-17	2012-02-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2010-04-01	2010-08-05