Personnel Hong Kong SFC License Details (ID 83040)

Personnel Hong Kong SFC License Details (ID 83040)

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 securities	2020-12-17	-
	Rep	Dealing in futures contracts	2015-09-11	-
	Rep	Dealing in securities	2015-09-11	-
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-03-24	2015-08-26
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2012-02-13	2015-08-26
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-09-15	2015-08-26
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-09-15	2015-08-26
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2006-07-31	2007-08-04
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-03-28	2007-08-04
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-03-28	2007-08-04
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2006-03-28	2007-08-04
GET NICE FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2005-06-21	2006-02-10
GET NICE SECURITIES LIMITED	Rep	Dealing in securities	2005-06-21	2006-02-10