Personnel Hong Kong SFC License Details (ID 77859)

Personnel Hong Kong SFC License Details (ID 77859)

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 securities	2010-11-20	2012-07-25
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	RO	Dealing in futures contracts	2007-10-11	2012-07-25
	RO	Dealing in securities	2004-09-09	2012-07-25
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	RO	Dealing in securities	2004-09-09	2010-11-20
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Advising on securities	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Dealing in securities	-	2004-09-09
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Advising on securities	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Dealing in securities	-	2004-09-09