Personnel Hong Kong SFC License Details (ID 73287)

Personnel Hong Kong SFC License Details (ID 73287)

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
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2017-09-13	2019-10-01
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2011-02-24	2014-02-28
	Rep	Asset management	2011-02-24	2014-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2011-02-24	2014-02-28
FT Securities Limited	Rep	Dealing in securities	2005-01-20	2005-04-14
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-01-20	2005-04-14
FT Securities Limited	Rep	Dealing in securities	2003-09-18	2004-07-04
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-09-18	2004-07-04