Personnel Hong Kong SFC License Details (ID 71052)

Personnel Hong Kong SFC License Details (ID 71052)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2020-08-26	-
	Rep	Dealing in securities	2020-08-26	-
BOCI SECURITIES LIMITED	Rep	Advising on securities	2011-11-11	2017-04-28
	Rep	Leveraged foreign exchange trading	2011-05-12	2015-02-05
	Rep	Dealing in futures contracts	2008-05-21	2017-04-28
	Rep	Dealing in securities	2008-05-21	2017-04-28
BOCI RESEARCH LIMITED	Rep	Advising on securities	2007-11-06	2007-11-29
BOCI SECURITIES LIMITED	Rep	Advising on securities	2007-10-09	2008-06-19
	Rep	Dealing in futures contracts	2006-11-06	2007-10-31
	Rep	Dealing in securities	2006-11-06	2007-10-31