Personnel Hong Kong SFC License Details (ID 71999)

Personnel Hong Kong SFC License Details (ID 71999)

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
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	RO	Dealing in securities	2016-06-06	-
	Rep	Dealing in securities	2005-10-26	2016-06-06
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2004-07-12	2005-08-31
RBS Asia Securities (Hong Kong) Limited	Rep	Dealing in securities	2004-07-12	2005-02-04
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-05
	Rep	Asset management	2003-04-01	2004-01-05
	Rep	Providing automated trading services	2003-04-01	2004-01-05
	Rep	Advising on securities	2003-04-01	2004-06-17
	Rep	Dealing in securities	2003-04-01	2004-06-17
ETRADE SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-05
	Rep	Asset management	2003-04-01	2004-01-05
	Rep	Providing automated trading services	2003-04-01	2004-01-05
	Rep	Advising on securities	2003-04-01	2004-06-17
	Rep	Dealing in securities	2003-04-01	2004-06-17