Personnel Hong Kong SFC License Details (ID 83024)

Personnel Hong Kong SFC License Details (ID 83024)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2024-07-18	2026-05-15
	Rep	Dealing in securities	2024-07-18	2026-05-15
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2024-07-18	2026-05-15
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2021-12-03	2022-02-07
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2021-09-17	2022-02-07
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-05-18	2020-04-08
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-02-24	2015-08-31
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2005-10-25	2020-04-08
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-01-05	2020-04-08
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-01-05	2021-08-31