Personnel Hong Kong SFC License Details (ID 77393)

Personnel Hong Kong SFC License Details (ID 77393)

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
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	Advising on securities	2026-08-03	-
	Rep	Dealing in securities	2026-08-03	-
	RO	Advising on securities	2016-12-01	2026-08-02
	Rep	Advising on securities	2016-07-22	2016-12-01
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2014-06-30	2015-07-20
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-06-30	2015-07-20
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2014-06-30	2026-08-02
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-06-30	2016-07-01
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2004-07-09	2014-03-04
CLSA RESEARCH LIMITED	Rep	Advising on securities	2003-04-01	2004-07-06