Personnel Hong Kong SFC License Details (ID 75497)

Personnel Hong Kong SFC License Details (ID 75497)

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
CLSA LIMITED	Rep	Dealing in securities	2009-05-13	2024-07-02
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2007-03-27	2009-02-23
Instinet Alpha Trading Limited	RO	Advising on securities	2006-06-07	2007-03-21
	RO	Providing automated trading services	2006-06-07	2007-03-21
	RO	Dealing in securities	2006-06-07	2007-03-21
INSTINET PACIFIC LIMITED	RO	Advising on securities	2006-06-07	2007-03-21
	RO	Providing automated trading services	2006-06-07	2007-03-21
	RO	Dealing in securities	2006-06-07	2007-03-21
Instinet Alpha Trading Limited	Rep	Advising on securities	2005-11-03	2006-06-07
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2005-11-03	2006-06-07
Instinet Alpha Trading Limited	Rep	Providing automated trading services	2005-11-01	2006-06-07
	Rep	Dealing in securities	2005-11-01	2006-06-07
INSTINET PACIFIC LIMITED	Rep	Providing automated trading services	2005-11-01	2006-06-07
	Rep	Dealing in securities	2005-11-01	2006-06-07
SG SECURITIES (HK) LIMITED	Rep	Advising on securities	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Advising on corporate finance	-	2004-01-13
	Rep	Providing automated trading services	-	2005-10-31
	Rep	Dealing in securities	-	2005-10-31