Personnel Hong Kong SFC License Details (ID 78404)

Personnel Hong Kong SFC License Details (ID 78404)

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
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on securities	2010-08-17	2012-06-13
	Rep	Dealing in securities	2010-08-17	2012-06-13
Mirae Asset Securities (HK) Limited	Rep	Advising on securities	2008-11-11	2010-07-04
	Rep	Dealing in securities	2008-11-11	2010-07-04
BEAR STEARNS ASIA LIMITED	RO	Advising on securities	2006-08-22	2008-08-01
	RO	Dealing in securities	2006-08-22	2008-08-01
	Rep	Advising on securities	2006-08-03	2006-08-22
	Rep	Dealing in securities	2006-08-03	2006-08-22
	Rep	Dealing in futures contracts	2006-08-03	2008-04-01
BNP PARIBAS SECURITIES (ASIA) LIMITED	RO	Advising on securities	2004-08-26	2006-07-19
	RO	Dealing in securities	2004-05-04	2006-07-19
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on corporate finance	-	2003-05-27
	RO	Advising on securities	-	2003-05-27
	RO	Asset management	-	2003-05-27
	RO	Providing automated trading services	-	2003-05-27
	RO	Dealing in securities	-	2003-05-27