Personnel Hong Kong SFC License Details (ID 77896)

Personnel Hong Kong SFC License Details (ID 77896)

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
NATIXIS ASIA LIMITED	RO	Advising on futures contracts	2016-01-15	-
	RO	Advising on securities	2016-01-15	-
	RO	Dealing in futures contracts	2016-01-15	-
	RO	Dealing in securities	2016-01-15	-
	Rep	Advising on futures contracts	2015-11-23	2016-01-15
	Rep	Advising on securities	2015-11-23	2016-01-15
	Rep	Dealing in futures contracts	2015-11-23	2016-01-15
	Rep	Dealing in securities	2015-11-23	2016-01-15
Daiwa Capital Markets Hong Kong Limited	RO	Dealing in futures contracts	2014-12-16	2015-08-15
	RO	Dealing in securities	2014-12-16	2015-08-15
	Rep	Dealing in futures contracts	2011-07-04	2014-12-16
	Rep	Dealing in securities	2011-07-04	2014-12-16