Personnel Hong Kong SFC License Details (ID 71448)

Personnel Hong Kong SFC License Details (ID 71448)

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
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2023-05-11	-
	Rep	Dealing in securities	2023-05-11	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2020-12-02	2023-04-28
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2020-12-02	2023-04-28
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Dealing in securities	2016-01-25	2020-11-19
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2016-01-25	2020-11-19
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2015-04-27	2016-01-08
	Rep	Dealing in futures contracts	2009-06-01	2010-11-30
	Rep	Dealing in securities	2009-02-16	2016-01-08
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2005-05-17	2009-02-13
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2005-05-17	2009-02-13