Personnel Hong Kong SFC License Details (ID 71175)

Personnel Hong Kong SFC License Details (ID 71175)

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	Advising on securities	2018-09-06	-
	Rep	Leveraged foreign exchange trading	2011-09-06	2014-11-26
	Rep	Dealing in futures contracts	2006-01-13	-
	Rep	Dealing in securities	2006-01-13	-
FIRST SHANGHAI FUTURES LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-05
	Rep	Advising on futures contracts	2003-04-01	2004-08-11
	Rep	Asset management	2003-04-01	2004-08-11
	Rep	Dealing in futures contracts	2003-04-01	2006-01-12
FIRST SHANGHAI SECURITIES LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-02
	Rep	Advising on corporate finance	2003-04-01	2004-08-11
	Rep	Advising on securities	2003-04-01	2004-08-11
	Rep	Asset management	2003-04-01	2004-08-11
	Rep	Dealing in securities	2003-04-01	2006-01-12