Personnel Hong Kong SFC License Details (ID 71463)

Personnel Hong Kong SFC License Details (ID 71463)

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
SoFi Securities (Hong Kong) Limited	RO	Advising on securities	2020-11-03	2022-11-25
	RO	Dealing in securities	2020-11-03	2022-11-25
	Rep	Dealing in securities	2020-08-11	2020-11-03
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2009-06-01	2020-07-31
	Rep	Dealing in securities	2009-02-11	2020-07-31
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2005-04-14	2005-06-27
THE PRUDENTIAL ASSURANCE COMPANY LIMITED	Rep	Advising on securities	2004-07-15	2005-03-31