Personnel Hong Kong SFC License Details (ID 78563)

Personnel Hong Kong SFC License Details (ID 78563)

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
ASIA PACIFIC INVESTMENT ADVISORS LIMITED	Rep	Advising on corporate finance	2021-01-12	2025-01-24
	Rep	Advising on securities	2021-01-12	2025-01-24
	Rep	Asset management	2021-01-12	2025-01-24
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2016-02-04	2017-09-25
	Rep	Dealing in securities	2015-03-27	2016-02-04
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-07-19	2014-11-18
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2003-09-08	2004-06-29
	Rep	Dealing in securities	2003-09-08	2004-06-29
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2003-09-08	2004-06-29
	Rep	Dealing in futures contracts	2003-09-08	2004-06-29
CLSA LIMITED	Rep	Advising on corporate finance	-	2003-05-16
	Rep	Advising on securities	-	2003-05-16
	Rep	Asset management	-	2003-05-16
	Rep	Dealing in securities	-	2003-05-16