Personnel Hong Kong SFC License Details (ID 82971)

Personnel Hong Kong SFC License Details (ID 82971)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2021-03-01	-
	Rep	Dealing in futures contracts	2014-01-07	-
	Rep	Dealing in securities	2014-01-07	-
	Rep	Leveraged foreign exchange trading	2014-01-07	2014-11-26
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2003-04-01	2013-12-23
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	2013-12-23
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	2013-01-22
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	2013-12-23