Personnel Hong Kong SFC License Details (ID 77967)

Personnel Hong Kong SFC License Details (ID 77967)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2018-05-18	2020-11-30
	Rep	Dealing in securities	2018-05-18	2020-11-30
AXIAL CAPITAL MANAGEMENT LIMITED	RO	Asset management	2017-01-10	2018-04-10
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2013-09-24	2016-01-21
	Rep	Dealing in securities	2013-09-24	2016-01-21
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2010-04-20	2013-06-25
	Rep	Dealing in securities	2010-04-20	2013-06-25
AXIAL CAPITAL MANAGEMENT LIMITED	Rep	Asset management	2008-10-06	2010-04-01
	Rep	Asset management	2007-04-13	2007-10-13
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Advising on securities	-	2006-07-10
	Rep	Dealing in securities	-	2006-07-10