Personnel Hong Kong SFC License Details (ID 83061)

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
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2025-04-14	-
	Rep	Dealing in securities	2025-04-14	-
BANDS Financial Limited	Rep	Dealing in futures contracts	2025-02-26	2025-04-01
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2022-04-27	2023-06-30
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2015-09-10	2022-04-12
	Rep	Dealing in securities	2015-09-10	2022-04-12
Jefferies Hong Kong Limited	Rep	Dealing in securities	2012-12-14	2015-08-14
	Rep	Dealing in futures contracts	2012-10-10	2015-08-14
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-07-09	2012-11-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-01-24	2012-04-16
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Dealing in futures contracts	2011-01-24	2012-03-23
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-07	2010-09-14
	Rep	Dealing in futures contracts	2008-11-07	2010-09-14
	Rep	Dealing in securities	2005-07-27	2010-09-14
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2005-07-27	2008-11-24
	Rep	Dealing in futures contracts	2005-07-27	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-07-27	2010-09-14
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-01-19
	Rep	Asset management	2003-04-01	2004-01-19
	Rep	Dealing in futures contracts	2003-04-01	2005-07-07
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Advising on futures contracts	2003-04-01	2003-08-29
	Rep	Asset management	2003-04-01	2003-08-29
	Rep	Dealing in futures contracts	2003-04-01	2005-07-07
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-19
	Rep	Advising on securities	2003-04-01	2004-01-19
	Rep	Asset management	2003-04-01	2004-01-19
	Rep	Dealing in securities	2003-04-01	2005-07-07