Personnel Hong Kong SFC License Details (ID 81328)

Personnel Hong Kong SFC License Details (ID 81328)

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
CSPRO (HONG KONG) LIMITED	Rep	Dealing in securities	2024-07-22	2024-10-31
MCM ASIA LIMITED (TRADING AS MCM PARTNERS) (	Rep	Dealing in securities	2024-01-04	2024-06-30
Jefferies Hong Kong Limited	RO	Dealing in securities	2013-10-02	2014-06-11
	Rep	Dealing in securities	2013-07-29	2013-10-02
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2011-03-22	2013-04-30
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-03-22	2013-04-30
RBC Capital Markets (Hong Kong) Limited	RO	Advising on securities	2010-09-09	2011-03-11
	RO	Dealing in securities	2010-09-09	2011-03-11