Personnel Hong Kong SFC License Details (ID 82883)

Personnel Hong Kong SFC License Details (ID 82883)

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 FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-08-30	2014-08-22
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-30	2014-08-22
HSBC BROKING (CHINA) LIMITED	Rep	Dealing in securities	2011-06-23	2012-08-14
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-06-23	2014-08-22
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-06-23	2014-08-22
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2010-06-10	2011-06-15
ROCTEC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2009-11-06	2009-11-25