Personnel Hong Kong SFC License Details (ID 78249)

Personnel Hong Kong SFC License Details (ID 78249)

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
LUK FOOK FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2019-05-09	2023-09-26
LUK FOOK SECURITIES (HK) LIMITED	Rep	Dealing in securities	2019-05-09	2023-09-26
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-09-11	2019-05-01
	Rep	Dealing in securities	2014-07-17	2019-05-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2014-04-14	2014-07-04
	Rep	Advising on securities	2014-04-14	2014-07-04
	Rep	Dealing in futures contracts	2014-04-14	2014-07-04
	Rep	Dealing in securities	2014-04-14	2014-07-04
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-12-24	2014-04-03
	Rep	Dealing in securities	2008-01-28	2014-04-03
DBS VICKERS SECURITIES ONLINE (HK) LIMITED	Rep	Dealing in securities	2005-05-13	2008-06-01
PRUDENTIAL BROKERAGE LIMITED	Rep	Advising on corporate finance	-	2004-06-07
	Rep	Advising on securities	-	2004-06-07
	Rep	Asset management	-	2004-06-07
	Rep	Providing automated trading services	-	2004-06-07
	Rep	Dealing in securities	-	2005-05-11