Personnel Hong Kong SFC License Details (ID 77847)

Personnel Hong Kong SFC License Details (ID 77847)

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
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2007-10-25	-
	Rep	Dealing in securities	2007-08-20	-
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-08-20	2007-11-01
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2005-05-26	2007-08-14
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2005-04-18	2007-08-14
OCBC Securities Brokerage (Hong Kong) Limited	Rep	Providing automated trading services	2003-04-01	2003-07-21
	Rep	Advising on corporate finance	2003-04-01	2004-01-27
	Rep	Advising on securities	2003-04-01	2004-01-27
	Rep	Asset management	2003-04-01	2004-01-27
	Rep	Dealing in securities	2003-04-01	2005-04-18