Personnel Hong Kong SFC License Details (ID 82880)

Personnel Hong Kong SFC License Details (ID 82880)

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
HSBC BROKING (CHINA) LIMITED	Rep	Advising on corporate finance	-	2004-08-04
	Rep	Advising on securities	-	2004-08-04
	Rep	Asset management	-	2004-08-04
	Rep	Dealing in securities	-	2012-08-14
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-08-04
	Rep	Asset management	-	2004-08-04
	Rep	Dealing in futures contracts	-	2015-05-16
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-08-04
	Rep	Asset management	-	2004-08-04
	Rep	Dealing in futures contracts	-	2015-05-16
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	-	2003-09-02
	Rep	Advising on corporate finance	-	2004-08-04
	Rep	Advising on securities	-	2004-08-04
	Rep	Asset management	-	2004-08-04
	Rep	Dealing in securities	-	2015-05-16
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-08-04
	Rep	Advising on securities	-	2004-08-04
	Rep	Asset management	-	2004-08-04
	Rep	Dealing in securities	-	2015-05-16