Personnel Hong Kong SFC License Details (ID 82997)

Personnel Hong Kong SFC License Details (ID 82997)

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	Rep	Advising on securities	2024-02-26	-
	Rep	Dealing in futures contracts	2024-02-26	-
	Rep	Dealing in securities	2024-02-26	-
BOCI SECURITIES LIMITED	Rep	Advising on securities	2021-04-29	2024-01-31
	Rep	Leveraged foreign exchange trading	2014-01-06	2014-11-26
	Rep	Dealing in futures contracts	2014-01-06	2024-01-31
	Rep	Dealing in securities	2014-01-06	2024-01-31
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2007-05-31	2013-12-06
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-01-22	2013-12-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-01-22	2013-01-22
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2007-01-22	2013-12-06