Personnel Hong Kong SFC License Details (ID 77868)

Personnel Hong Kong SFC License Details (ID 77868)

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
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2014-05-30	-
	Rep	Advising on securities	2012-08-14	2014-05-30
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2009-08-24	2012-02-16
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2005-10-19	2012-01-30
KINGSTON SECURITIES LIMITED	Rep	Providing automated trading services	2003-04-01	2003-07-04
	Rep	Advising on corporate finance	2003-04-01	2004-08-23
	Rep	Advising on securities	2003-04-01	2004-08-23
	Rep	Asset management	2003-04-01	2004-08-23
	Rep	Dealing in securities	2003-04-01	2005-09-27