Personnel Hong Kong SFC License Details (ID 71090)

Personnel Hong Kong SFC License Details (ID 71090)

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	Leveraged foreign exchange trading	2011-06-08	2013-10-20
	Rep	Dealing in futures contracts	2011-01-17	2013-10-20
	Rep	Dealing in securities	2011-01-17	2013-10-20
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-11-01	2010-10-30
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	-	2010-10-30
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-07-16
	Rep	Asset management	-	2004-07-16
	Rep	Dealing in futures contracts	-	2010-10-30
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	Providing automated trading services	-	2003-09-02
	RO	Advising on corporate finance	-	2004-07-16
	RO	Advising on securities	-	2004-07-16
	RO	Asset management	-	2004-07-16
	RO	Dealing in securities	-	2008-11-01