Personnel Hong Kong SFC License Details (ID 81937)

Personnel Hong Kong SFC License Details (ID 81937)

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
BOCOM International Securities Limited	RO	Advising on securities	2018-11-08	2018-11-29
	RO	Dealing in securities	2018-11-08	2018-11-29
	Rep	Advising on securities	2018-05-03	2018-11-08
	Rep	Dealing in securities	2018-05-03	2018-11-08
	Rep	Dealing in futures contracts	2018-05-03	2018-11-29
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	RO	Advising on securities	2012-02-27	2013-06-10
	RO	Asset management	2012-02-27	2013-06-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2012-02-27	2013-06-10
	RO	Asset management	2012-02-27	2013-06-10
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2012-02-27	2013-06-10
	RO	Asset management	2012-02-27	2013-06-10
	RO	Dealing in securities	2012-02-27	2013-06-10
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2011-08-19	2012-02-27
	Rep	Asset management	2011-08-19	2012-02-27
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2011-08-19	2012-02-27
	Rep	Asset management	2011-08-19	2012-02-27
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2011-08-19	2012-02-27
	Rep	Asset management	2011-08-19	2012-02-27