Personnel Hong Kong SFC License Details (ID 71217)

Personnel Hong Kong SFC License Details (ID 71217)

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	2018-11-15	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-11-15	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-10-11	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-10-11	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2016-09-07	2018-09-28
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2016-09-07	2018-09-28
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2011-06-08	2014-11-26
	Rep	Dealing in futures contracts	2009-08-18	2016-08-24
	Rep	Dealing in securities	2009-08-18	2016-08-24
BOCI RESEARCH LIMITED	Rep	Advising on securities	2008-06-05	2009-07-21
BOCI SECURITIES LIMITED	Rep	Advising on securities	2008-03-27	2008-06-20