Personnel Hong Kong SFC License Details (ID 71010)

Personnel Hong Kong SFC License Details (ID 71010)

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 SECURITIES LIMITED	RO	Dealing in futures contracts	2013-03-06	2019-12-04
	RO	Dealing in securities	2013-03-06	2019-12-04
	Rep	Leveraged foreign exchange trading	2011-09-12	2014-11-25
	Rep	Dealing in futures contracts	2005-10-24	2013-03-06
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2005-05-20	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2005-05-20	2013-03-06
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-04-19	2005-05-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-08-29
	Rep	Asset management	-	2003-08-29
	Rep	Providing automated trading services	-	2003-08-29
	Rep	Dealing in futures contracts	-	2005-05-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2003-08-29
	Rep	Advising on securities	-	2003-08-29
	Rep	Asset management	-	2003-08-29
	Rep	Providing automated trading services	-	2003-08-29
	Rep	Dealing in securities	-	2005-05-20