Personnel Hong Kong SFC License Details (ID 74528)

Personnel Hong Kong SFC License Details (ID 74528)

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
CBH Asia Limited	Rep	Advising on securities	2025-12-01	-
	Rep	Dealing in securities	2025-12-01	-
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2024-10-21	2025-03-15
	Rep	Dealing in securities	2024-10-21	2025-03-15
BOCI SECURITIES LIMITED	Rep	Advising on futures contracts	2018-02-02	2019-03-25
	Rep	Advising on securities	2018-02-02	2019-03-25
	Rep	Dealing in futures contracts	2018-02-02	2019-03-25
	Rep	Dealing in securities	2018-02-02	2019-03-25
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-02-15	2012-05-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-02-15	2012-05-21
	Rep	Dealing in securities	2011-02-15	2012-05-21
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-01-19	2010-07-24
	Rep	Advising on securities	2007-09-06	2010-07-24
	Rep	Dealing in securities	2007-09-06	2010-07-24
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2006-04-26	2006-11-01
FWD Life Insurance Company (Bermuda) Limited	Rep	Advising on securities	2005-11-29	2006-05-22