Personnel Hong Kong SFC License Details (ID 82881)

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
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2020-12-03	-
	Rep	Asset management	2020-12-03	-
	Rep	Dealing in securities	2020-12-03	-
HSBC BROKING FOREX (ASIA) LIMITED	RO	Leveraged foreign exchange trading	2019-09-18	2020-08-25
HSBC BROKING FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2017-11-17	2020-08-25
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	Dealing in securities	2017-11-17	2020-08-25
HSBC BROKING SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2017-11-17	2020-08-25
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2015-05-14	2019-09-18
HSBC BROKING (CHINA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-08-05
	Rep	Advising on securities	2003-04-01	2004-08-05
	Rep	Asset management	2003-04-01	2004-08-05
	Rep	Dealing in securities	2003-04-01	2012-08-14
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-08-05
	Rep	Asset management	2003-04-01	2004-08-05
	Rep	Dealing in futures contracts	2003-04-01	2017-11-17
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-08-05
	Rep	Asset management	2003-04-01	2004-08-05
	Rep	Dealing in futures contracts	2003-04-01	2017-12-04
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-02
	Rep	Advising on corporate finance	2003-04-01	2004-08-05
	Rep	Advising on securities	2003-04-01	2004-08-05
	Rep	Asset management	2003-04-01	2004-08-05
	Rep	Dealing in securities	2003-04-01	2017-11-17
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-08-05
	Rep	Advising on securities	2003-04-01	2004-08-05
	Rep	Asset management	2003-04-01	2004-08-05
	Rep	Dealing in securities	2003-04-01	2017-11-17