Personnel Hong Kong SFC License Details (ID 71096)

Personnel Hong Kong SFC License Details (ID 71096)

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
BOCHK Asset Management Limited	Rep	Advising on securities	2013-11-07	-
	Rep	Asset management	2013-11-07	-
	Rep	Dealing in securities	2013-11-07	-
BOCI SECURITIES LIMITED	Rep	Advising on securities	2010-11-15	2013-09-07
	Rep	Dealing in securities	2010-06-18	2013-09-07
HSBC STRUCTURED FUNDS (ASIA) LIMITED	Rep	Advising on securities	2006-08-15	2007-06-09
	Rep	Asset management	2006-08-15	2007-06-09
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2006-05-24	2007-06-09
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-21
	Rep	Advising on securities	2003-04-01	2004-01-21
	Rep	Asset management	2003-04-01	2004-01-21
	Rep	Dealing in securities	2003-04-01	2005-08-04