Personnel Hong Kong SFC License Details (ID 70900)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-10-08	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-10-08	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-09-26	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-09-26	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2017-02-14	2018-09-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2017-02-14	2018-09-07
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2011-05-19	2014-11-27
	Rep	Dealing in futures contracts	2008-04-21	2017-01-19
	Rep	Dealing in securities	2008-04-21	2017-01-19
	Rep	Dealing in futures contracts	2005-10-13	2008-01-05
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-01	2008-01-05
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-03-01	2008-01-05
HSBC BROKING (CHINA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-16
	Rep	Advising on securities	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in securities	2003-04-01	2004-03-01
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in futures contracts	2003-04-01	2004-03-01
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in futures contracts	2003-04-01	2004-03-01
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-02
	Rep	Advising on corporate finance	2003-04-01	2004-02-16
	Rep	Advising on securities	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in securities	2003-04-01	2004-03-01
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-16
	Rep	Advising on securities	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in securities	2003-04-01	2004-03-01