Personnel Hong Kong SFC License Details (ID 77162)

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
Credit Suisse Securities (Hong Kong) Limited	RO	Advising on securities	2022-11-16	2024-07-10
	RO	Dealing in securities	2022-11-16	2024-07-10
Credit Suisse (Hong Kong) Limited	RO	Advising on futures contracts	2018-10-25	2024-07-10
	RO	Advising on securities	2018-10-25	2024-07-10
	RO	Dealing in futures contracts	2018-10-25	2024-07-10
	RO	Dealing in securities	2018-10-25	2024-07-10
	Rep	Advising on futures contracts	2018-09-06	2018-10-25
	Rep	Advising on securities	2018-09-06	2018-10-25
	Rep	Dealing in futures contracts	2018-09-06	2018-10-25
	Rep	Dealing in securities	2018-09-06	2018-10-25
THREE STONES CAPITAL LIMITED	Rep	Asset management	2017-03-31	2018-08-21
Standard Chartered Securities (Hong Kong) Limited	RO	Advising on futures contracts	2014-01-07	2015-10-27
	RO	Advising on securities	2014-01-07	2015-10-27
	RO	Dealing in futures contracts	2014-01-07	2015-10-27
	RO	Dealing in securities	2014-01-07	2015-10-27
	Rep	Advising on futures contracts	2013-09-02	2014-01-07
	Rep	Advising on securities	2013-09-02	2014-01-07
	Rep	Dealing in futures contracts	2013-09-02	2014-01-07
	Rep	Dealing in securities	2013-09-02	2014-01-07
Credit Suisse (Hong Kong) Limited	RO	Advising on futures contracts	2009-10-05	2013-04-09
	RO	Advising on securities	2009-10-05	2013-04-09
	RO	Providing automated trading services	2009-10-05	2013-04-09
	RO	Dealing in futures contracts	2009-10-05	2013-04-09
	RO	Dealing in securities	2009-10-05	2013-04-09
Credit Suisse Securities (Hong Kong) Limited	RO	Advising on securities	2009-10-05	2013-04-09
	RO	Dealing in securities	2009-10-05	2013-04-09
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2009-06-09	2009-10-05
	Rep	Dealing in futures contracts	2009-06-09	2009-10-05
	Rep	Dealing in securities	2009-06-09	2009-10-05
UBS DERIVATIVES HONG KONG LIMITED	RO	Dealing in futures contracts	2004-07-29	2009-04-15
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2004-07-29	2009-04-15
	RO	Dealing in securities	2004-07-29	2009-04-15
	Rep	Advising on corporate finance	-	2004-05-20
	Rep	Advising on securities	-	2004-05-20
	Rep	Asset management	-	2004-05-20
	Rep	Dealing in securities	-	2004-07-29