Personnel Hong Kong SFC License Details (ID 78019)

Personnel Hong Kong SFC License Details (ID 78019)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2017-06-15	2022-01-21
	Rep	Dealing in securities	2017-06-15	2022-01-21
KGI ASIA LIMITED	Rep	Dealing in securities	2015-11-18	2017-05-19
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2013-03-13	2015-04-18
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2011-09-06
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in securities	2010-11-02	2011-09-06
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Advising on securities	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Dealing in securities	-	2010-11-20