Personnel Hong Kong SFC License Details (ID 79389)

Personnel Hong Kong SFC License Details (ID 79389)

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
BTIG Hong Kong Limited	Rep	Dealing in securities	2021-05-18	-
	RO	Dealing in securities	2014-06-09	2021-05-18
	Rep	Dealing in securities	2014-05-14	2014-06-09
EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES)	RO	Dealing in securities	2005-10-10	2014-04-30
BEAR STEARNS ASIA LIMITED	RO	Advising on corporate finance	2003-04-01	2004-12-11
	RO	Advising on securities	2003-04-01	2004-12-11
	RO	Asset management	2003-04-01	2004-12-11
	RO	Providing automated trading services	2003-04-01	2004-12-11
	RO	Dealing in securities	2003-04-01	2004-12-11
BEAR STEARNS HONG KONG LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-12-11
	Rep	Asset management	2003-04-01	2004-12-11
	Rep	Dealing in futures contracts	2003-04-01	2004-12-11