Personnel Hong Kong SFC License Details (ID 71424)

Personnel Hong Kong SFC License Details (ID 71424)

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
DBS VICKERS (HONG KONG) LIMITED	RO	Dealing in securities	2021-02-04	2021-06-01
	Rep	Dealing in securities	2020-09-03	2021-02-04
	Rep	Advising on securities	2020-09-03	2021-06-01
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2014-05-30	2019-11-05
	Rep	Dealing in securities	2014-05-30	2019-11-05
BOCOM International Securities Limited	RO	Dealing in securities	2011-08-24	2013-08-30
	Rep	Dealing in securities	2011-05-03	2011-08-24
T.F.S. Derivatives HK Limited	Rep	Dealing in securities	2010-01-04	2010-05-03
DBS VICKERS (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Advising on securities	-	2003-10-22
	Rep	Dealing in securities	-	2008-04-01