Personnel Hong Kong SFC License Details (ID 71476)

Personnel Hong Kong SFC License Details (ID 71476)

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
Prime China Investments and Advisory Limited	Rep	Advising on securities	2019-09-24	-
	Rep	Asset management	2019-09-24	-
Prime China Securities Limited	RO	Advising on securities	2019-05-29	-
	RO	Dealing in securities	2019-05-29	-
	Rep	Dealing in securities	2019-02-28	2019-05-29
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2018-02-13	2019-02-21
	Rep	Dealing in securities	2017-06-29	2017-08-01
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2009-06-29	2013-11-15
	Rep	Dealing in securities	2007-09-12	2013-11-15
BOCOM International Holdings Company Limited	Rep	Dealing in securities	2006-02-17	2008-03-03
TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED	Rep	Asset management	2003-04-01	2006-01-03