Personnel Hong Kong SFC License Details (ID 82973)

Personnel Hong Kong SFC License Details (ID 82973)

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 futures contracts	2023-04-04	2024-02-28
	Rep	Dealing in futures contracts	2023-04-04	2024-02-28
	Rep	Advising on securities	2018-05-24	2024-02-28
	Rep	Dealing in securities	2018-05-24	2024-02-28
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-04-02	2017-09-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-01-05	2013-08-19
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2008-04-23	2017-09-06
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-11-15	2017-09-06
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2007-11-15	2017-09-06