Personnel SFC Licences and HKMA Registrations (ID 83029)

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	RO	Advising on securities	2026-06-02	-
	RO	Dealing in futures contracts	2026-06-02	-
	RO	Dealing in securities	2026-06-02	-
	Rep	Advising on securities	2018-09-06	2026-06-02
	Rep	Leveraged foreign exchange trading	2014-01-22	2014-11-26
	Rep	Dealing in futures contracts	2014-01-22	2026-06-02
	Rep	Dealing in securities	2014-01-22	2026-06-02
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2003-04-01	2013-12-19
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-09-10
	Rep	Asset management	2003-04-01	2004-09-10
	Rep	Dealing in futures contracts	2003-04-01	2013-12-19
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-02
	Rep	Advising on corporate finance	2003-04-01	2004-09-10
	Rep	Advising on securities	2003-04-01	2004-09-10
	Rep	Asset management	2003-04-01	2004-09-10
	Rep	Dealing in securities	2003-04-01	2013-12-19

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.