Personnel Hong Kong SFC License Details (ID 82296)

Personnel Hong Kong SFC License Details (ID 82296)

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
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2020-10-23	2021-07-09
	Rep	Advising on securities	2020-10-23	2021-07-09
	Rep	Asset management	2020-10-23	2021-07-09
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-09-01	2021-07-09
	RO	Dealing in securities	2016-04-25	2020-09-01
	Rep	Leveraged foreign exchange trading	2006-02-27	2013-10-15
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2005-07-21	2013-10-15
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2005-07-21	2016-04-25
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2005-01-21	2005-04-14
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2004-09-06	2005-04-14