Personnel Hong Kong SFC License Details (ID 82938)

Personnel Hong Kong SFC License Details (ID 82938)

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
Topaz Financial Group Limited	RO	Advising on futures contracts	2019-04-25	-
	RO	Advising on securities	2019-04-25	-
TOPAZ CAPITAL MANAGEMENT LIMITED	RO	Asset management	2016-11-09	-
Topaz Financial Group Limited	RO	Dealing in futures contracts	2013-03-27	-
	RO	Dealing in securities	2013-03-27	-
	Rep	Dealing in futures contracts	2012-11-22	2013-03-27
	Rep	Dealing in securities	2012-11-22	2013-03-27
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-09-12	2012-08-03
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2006-09-12	2012-08-03
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2006-07-21	2012-08-03