Personnel Hong Kong SFC License Details (ID 78213)

Personnel Hong Kong SFC License Details (ID 78213)

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	2018-09-10	2024-06-14
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-09-10	2024-06-14
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-11-19	2018-08-31
	Rep	Dealing in securities	2004-11-19	2018-08-31
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-02-06
	Rep	Asset management	-	2004-02-06
	Rep	Dealing in futures contracts	-	2004-11-16
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-06
	Rep	Advising on securities	-	2004-02-06
	Rep	Asset management	-	2004-02-06
	Rep	Dealing in securities	-	2004-11-16