Personnel Hong Kong SFC License Details (ID 77869)

Personnel Hong Kong SFC License Details (ID 77869)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2025-09-17	-
	RO	Dealing in futures contracts	2025-09-17	-
	RO	Advising on securities	2022-06-29	-
	RO	Providing automated trading services	2022-06-29	-
	RO	Dealing in securities	2022-06-29	-
	Rep	Advising on securities	2019-12-30	2022-06-29
	Rep	Providing automated trading services	2019-12-30	2022-06-29
	Rep	Dealing in securities	2019-12-30	2022-06-29
	Rep	Advising on securities	2012-04-13	2016-10-11
	Rep	Dealing in securities	2012-04-13	2016-10-11
	Rep	Advising on futures contracts	2012-04-13	2025-09-17
	Rep	Dealing in futures contracts	2012-04-13	2025-09-17
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2010-08-04	2012-02-16
	Rep	Dealing in securities	2010-08-04	2012-02-16
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-05-09	2010-04-24
CLSA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-18
	Rep	Advising on securities	2003-04-01	2004-03-18
	Rep	Asset management	2003-04-01	2004-03-18
	Rep	Dealing in securities	2003-04-01	2005-04-20