Personnel Hong Kong SFC License Details (ID 82968)

Personnel Hong Kong SFC License Details (ID 82968)

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
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2015-03-13	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2015-03-13	-
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2004-02-11	2015-02-07
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-02-11	2015-02-07
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-02-11	2013-01-22
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2003-12-09	2015-02-07
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2003-12-09	2013-01-22
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2003-04-16	2003-11-18
	Rep	Dealing in securities	2003-04-16	2003-11-18