Personnel Hong Kong SFC License Details (ID 77927)

Personnel Hong Kong SFC License Details (ID 77927)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2024-01-03	-
Macquarie Asia Securities Limited	Rep	Dealing in securities	2023-06-26	2023-10-12
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2021-05-13	2022-05-23
	Rep	Dealing in securities	2021-05-13	2022-06-23
	RO	Advising on securities	2020-11-20	2021-05-13
	RO	Dealing in securities	2020-11-20	2021-05-13
	Rep	Advising on securities	2020-07-14	2020-11-20
	Rep	Dealing in securities	2020-06-23	2020-11-20
DEUTSCHE SECURITIES ASIA LIMITED	RO	Advising on securities	2018-12-13	2019-12-03
	Rep	Dealing in futures contracts	2018-07-16	2020-02-18
	RO	Dealing in securities	2014-03-14	2020-02-18
	Rep	Dealing in securities	2013-06-24	2014-03-14
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2013-05-17
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in securities	2010-11-02	2013-05-17
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2007-12-13	2010-11-20
	Rep	Dealing in securities	2007-09-10	2007-12-10
	Rep	Dealing in securities	2007-08-06	2007-09-06
	Rep	Dealing in securities	2007-07-03	2007-08-03
	Rep	Dealing in securities	2007-05-31	2007-07-01