Personnel Hong Kong SFC License Details (ID 77904)

Personnel Hong Kong SFC License Details (ID 77904)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Advising on securities	2014-03-24	2017-06-10
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2009-08-24	2013-09-25
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2006-05-03	2012-01-30
DBS VICKERS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-24	2003-10-13
	Rep	Asset management	2003-04-24	2003-10-13
	Rep	Advising on securities	2003-04-24	2006-04-14
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-04-23
	Rep	Advising on securities	-	2003-04-23
	Rep	Asset management	-	2003-04-23
	Rep	Dealing in securities	-	2003-04-23