Personnel Hong Kong SFC License Details (ID 75831)

Personnel Hong Kong SFC License Details (ID 75831)

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
CMB International Securities Limited	RO	Advising on securities	2016-09-28	2021-04-28
	Rep	Dealing in securities	2011-06-10	2017-02-22
KGI ASIA LIMITED	Rep	Advising on securities	2010-01-13	2011-05-04
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2006-06-28	2010-01-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2006-02-17	2006-04-29
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2004-10-15	2005-07-08
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2003-08-25	2004-08-09
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2003-08-25	2004-08-09