Personnel Hong Kong SFC License Details (ID 74217)

Personnel Hong Kong SFC License Details (ID 74217)

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
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-11-19	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2010-11-19	-
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2007-03-09	2010-11-19
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2007-03-09	2010-11-19
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-04-02	2007-03-09
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-04-02	2007-03-09
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-11-03	2004-03-18
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-31
	Rep	Dealing in securities	2003-04-01	2004-03-18
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-31
	Rep	Asset management	2003-04-01	2003-10-31
	Rep	Dealing in futures contracts	2003-04-01	2003-12-11