Personnel Hong Kong SFC License Details (ID 77306)

Personnel Hong Kong SFC License Details (ID 77306)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2015-01-02	2015-10-27
	Rep	Advising on securities	2015-01-02	2015-10-27
	Rep	Dealing in futures contracts	2015-01-02	2015-10-27
	Rep	Dealing in securities	2015-01-02	2015-10-27
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2013-05-07	2014-09-04
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2012-09-05	2012-11-16
	Rep	Providing automated trading services	2011-07-07	2012-11-16
	Rep	Dealing in futures contracts	2011-07-07	2012-11-16
	Rep	Dealing in securities	2011-07-07	2012-11-16
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2011-07-07	2012-11-16