Personnel Hong Kong SFC License Details (ID 78146)

Personnel Hong Kong SFC License Details (ID 78146)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2018-10-22	2021-09-03
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-10-22	2021-09-03
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-27	2018-09-14
	Rep	Advising on corporate finance	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Advising on securities	-	2003-10-20
	Rep	Dealing in securities	-	2018-09-14
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	-	2003-10-20
	Rep	Asset management	-	2003-10-20
	Rep	Dealing in futures contracts	-	2003-12-12
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	-	2003-10-20
	Rep	Advising on securities	-	2003-10-20
	Rep	Asset management	-	2003-10-20
	Rep	Dealing in securities	-	2003-10-27