Personnel Hong Kong SFC License Details (ID 78095)

Personnel Hong Kong SFC License Details (ID 78095)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2022-07-11	-
	RO	Dealing in futures contracts	2022-07-11	-
	RO	Dealing in securities	2022-07-11	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-10-05	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-10-05	2022-07-11
	Rep	Dealing in securities	2018-10-05	2022-07-11
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2017-09-20	2018-07-20
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2016-11-08	2018-07-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2016-11-08	2018-07-20
	Rep	Dealing in securities	2016-11-08	2018-07-20
BOCI SECURITIES LIMITED	Rep	Advising on securities	2015-06-15	2016-10-31
	Rep	Dealing in futures contracts	2015-06-15	2016-10-31
	Rep	Dealing in securities	2015-06-15	2016-10-31
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2012-04-19	2014-09-26
	Rep	Dealing in securities	2010-11-20	2014-09-26
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in futures contracts	2008-07-03	2014-09-26
	Rep	Dealing in securities	2008-04-08	2014-09-26
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2006-07-04	2010-11-20