Personnel Hong Kong SFC License Details (ID 71516)

Personnel Hong Kong SFC License Details (ID 71516)

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
BOCOM International Securities Limited	Rep	Dealing in securities	2011-07-26	2017-05-24
CVP Securities Limited	Rep	Dealing in securities	2010-04-23	2011-07-21
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2009-12-04	2010-04-15
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	-	2003-09-02
	Rep	Advising on corporate finance	-	2004-08-05
	Rep	Advising on securities	-	2004-08-05
	Rep	Asset management	-	2004-08-05
	Rep	Dealing in securities	-	2009-11-17
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-08-05
	Rep	Advising on securities	-	2004-08-05
	Rep	Asset management	-	2004-08-05
	Rep	Dealing in securities	-	2009-11-17