Personnel Hong Kong SFC License Details (ID 78476)

Personnel Hong Kong SFC License Details (ID 78476)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2022-09-02	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2018-10-08	2022-06-30
	Rep	Dealing in securities	2018-10-08	2022-06-30
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2018-10-08	2022-06-30
	Rep	Dealing in securities	2018-10-08	2022-06-30
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2007-05-25	2018-06-21
	Rep	Dealing in securities	2007-05-25	2018-06-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-02-17	2007-05-14
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2003-10-13	2007-05-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2003-08-22
	Rep	Advising on securities	2003-04-01	2003-08-22
	Rep	Asset management	2003-04-01	2003-08-22
	Rep	Dealing in securities	2003-04-01	2003-08-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-22
	Rep	Advising on securities	2003-04-01	2003-08-22
	Rep	Asset management	2003-04-01	2003-08-22
	Rep	Dealing in securities	2003-04-01	2003-08-22