Personnel Hong Kong SFC License Details (ID 78162)

Personnel Hong Kong SFC License Details (ID 78162)

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
CORPORATE BROKERS LIMITED	Rep	Dealing in securities	2019-03-14	2019-06-21
DBS VICKERS (HONG KONG) LIMITED	RO	Advising on securities	2011-11-17	2016-08-31
	RO	Dealing in futures contracts	2011-11-17	2016-08-31
	RO	Dealing in securities	2011-11-17	2016-08-31
	Rep	Dealing in futures contracts	2003-10-24	2011-11-17
	Rep	Advising on corporate finance	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Advising on securities	-	2003-10-21
	Rep	Dealing in securities	-	2011-11-17
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	-	2003-10-21
	Rep	Asset management	-	2003-10-21
	Rep	Dealing in futures contracts	-	2003-12-12
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	-	2003-10-21
	Rep	Advising on securities	-	2003-10-21
	Rep	Asset management	-	2003-10-21
	Rep	Dealing in securities	-	2003-10-24