Personnel Hong Kong SFC License Details (ID 70842)

Personnel Hong Kong SFC License Details (ID 70842)

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
BOCI RESEARCH LIMITED	Rep	Advising on securities	2013-04-22	2017-03-21
BOCI SECURITIES LIMITED	Rep	Advising on securities	2013-02-04	2017-03-21
	Rep	Dealing in futures contracts	2013-02-04	2017-03-21
	Rep	Dealing in securities	2013-02-04	2017-03-21
BOCI RESEARCH LIMITED	Rep	Advising on securities	2011-07-18	2013-02-04
BOCI SECURITIES LIMITED	Rep	Advising on securities	2011-03-14	2011-07-18
BOCI RESEARCH LIMITED	Rep	Advising on securities	2005-11-16	2011-01-10
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2005-05-18	2005-11-01
BOCI RESEARCH LIMITED	Rep	Advising on securities	2004-01-15	2005-05-17
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Providing automated trading services	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Providing automated trading services	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09