Personnel Hong Kong SFC License Details (ID 71182)

Personnel Hong Kong SFC License Details (ID 71182)

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
Harmonia Capital Limited	Rep	Asset management	2023-04-11	-
	RO	Dealing in securities	2020-12-23	-
	Rep	Advising on securities	2020-12-02	-
	Rep	Dealing in securities	2020-12-02	2020-12-23
BOCI SECURITIES LIMITED	Rep	Advising on securities	2020-07-07	2020-11-20
	Rep	Leveraged foreign exchange trading	2011-09-07	2014-11-25
	Rep	Dealing in futures contracts	2007-01-26	2020-11-20
	Rep	Dealing in securities	2007-01-26	2020-11-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-08-07	2007-01-22
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2003-07-25	2007-01-22
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-17
	Rep	Advising on securities	2003-04-01	2003-07-17
	Rep	Asset management	2003-04-01	2003-07-17
	Rep	Providing automated trading services	2003-04-01	2003-07-17
	Rep	Dealing in securities	2003-04-01	2007-01-22