Personnel Hong Kong SFC License Details (ID 71104)

Personnel Hong Kong SFC License Details (ID 71104)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-10-18	-
	Rep	Dealing in futures contracts	2019-10-18	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-10-18	-
	Rep	Dealing in securities	2019-10-18	-
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-11-11	2019-06-21
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2005-03-02	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2005-01-28	2019-06-21
FT Securities Limited	Rep	Dealing in securities	2004-04-06	2005-01-25
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-06	2004-12-12
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-11
	Rep	Advising on corporate finance	2003-04-01	2004-03-19
	Rep	Advising on securities	2003-04-01	2004-03-19
	Rep	Asset management	2003-04-01	2004-03-19
	Rep	Dealing in securities	2003-04-01	2004-03-19