Personnel SFC Licences and HKMA Registrations (ID 82980)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2016-09-30	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-09-30	-
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2014-06-20	2014-11-26
	Rep	Dealing in futures contracts	2014-06-20	2016-09-14
	Rep	Dealing in securities	2014-06-20	2016-09-14
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2009-08-04	2014-05-30
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-06-11	2014-05-30
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2009-06-11	2014-05-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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