Personnel Hong Kong SFC License Details (ID 72330)

Personnel Hong Kong SFC License Details (ID 72330)

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
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2009-01-08	-
	RO	Dealing in securities	2009-01-08	-
	Rep	Advising on securities	2008-07-23	2009-01-08
	Rep	Dealing in securities	2008-07-23	2009-01-08
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2007-07-09	2008-05-30
	Rep	Advising on securities	2005-02-07	2008-05-30
	Rep	Dealing in securities	2005-02-07	2008-05-30
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-02
	Rep	Asset management	2003-04-01	2003-12-02
	Rep	Providing automated trading services	2003-04-01	2003-12-02
	Rep	Advising on securities	2003-04-01	2005-02-07
	Rep	Dealing in securities	2003-04-01	2005-02-07