Personnel Hong Kong SFC License Details (ID 77903)

Personnel Hong Kong SFC License Details (ID 77903)

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	2007-10-08	-
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-09-28	2007-11-01
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2005-09-23	-
FOX-PITT, KELTON (ASIA) LIMITED	Rep	Dealing in securities	2005-03-01	2005-09-02
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-04-02	2005-02-25
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-02	2005-02-25
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-25	2004-03-16
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-21
	Rep	Dealing in securities	2003-04-01	2004-03-16
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in futures contracts	2003-04-01	2003-12-11
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	2003-04-01	2003-10-21
	Rep	Advising on securities	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in securities	2003-04-01	2003-10-25