Personnel Hong Kong SFC License Details (ID 78387)

Personnel Hong Kong SFC License Details (ID 78387)

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
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2017-08-14	2018-09-28
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2017-08-14	2018-09-28
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-06-29	2018-09-28
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2017-03-14	2017-03-14
	Rep	Dealing in securities	2017-03-14	2017-03-14
	RO	Advising on securities	2017-03-14	2017-07-16
	RO	Dealing in securities	2017-03-14	2017-08-14
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2017-03-14	2017-03-14
	RO	Dealing in securities	2017-03-14	2017-07-16
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-10-18	2015-02-28
	RO	Advising on corporate finance	-	2004-01-08
	RO	Advising on securities	-	2004-01-08
	RO	Asset management	-	2004-01-08
	RO	Dealing in securities	-	2011-10-18