Personnel Hong Kong SFC License Details (ID 81318)

Personnel Hong Kong SFC License Details (ID 81318)

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
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	Dealing in futures contracts	2026-06-25	-
	RO	Dealing in securities	2024-02-20	-
	Rep	Asset management	2023-12-13	-
	Rep	Dealing in securities	2023-10-13	2024-02-20
	Rep	Dealing in futures contracts	2023-10-13	2026-06-25
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2022-04-29	2023-09-15
	Rep	Dealing in securities	2022-04-29	2023-09-15
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2017-03-13	2021-06-07
	Rep	Dealing in futures contracts	2017-03-13	2021-06-07
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-02-20	2014-06-19
	Rep	Dealing in securities	2007-03-30	2014-06-19
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2007-03-30	2014-06-19
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-03-30	2014-06-19
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2006-03-22	2007-02-23
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2006-03-22	2007-02-23
	Rep	Dealing in securities	2006-03-22	2007-02-23