Personnel Hong Kong SFC License Details (ID 71020)

Personnel Hong Kong SFC License Details (ID 71020)

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	Rep	Dealing in securities	2023-03-13	2023-05-25
	Rep	Dealing in futures contracts	2012-01-17	2023-02-17
	Rep	Dealing in securities	2007-10-05	2023-02-17
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-09-27	2005-11-14
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2005-09-27	2007-09-29
Instinet Alpha Trading Limited	RO	Advising on corporate finance	-	2004-09-15
	RO	Asset management	-	2004-09-15
	RO	Advising on securities	-	2005-09-26
	RO	Providing automated trading services	-	2005-09-26
	RO	Dealing in securities	-	2005-09-26
INSTINET PACIFIC LIMITED	RO	Advising on corporate finance	-	2004-09-15
	RO	Asset management	-	2004-09-15
	RO	Advising on securities	-	2005-09-26
	RO	Providing automated trading services	-	2005-09-26
	RO	Dealing in securities	-	2005-09-26