Personnel Hong Kong SFC License Details (ID 78291)

Personnel Hong Kong SFC License Details (ID 78291)

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	2018-09-19	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-09-19	-
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-27	2018-09-12
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-21
	Rep	Dealing in securities	2003-04-01	2018-09-12
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in futures contracts	2003-04-01	2003-12-12
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	2003-04-01	2003-10-21
	Rep	Advising on securities	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in securities	2003-04-01	2003-10-27