Personnel Hong Kong SFC License Details (ID 83273)

Personnel Hong Kong SFC License Details (ID 83273)

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
State Street Securities Hong Kong Limited	RO	Dealing in securities	2025-03-26	-
	Rep	Dealing in securities	2025-01-22	2025-03-26
Morgan Stanley Asia Limited	Rep	Dealing in securities	2021-08-06	2023-01-12
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2021-08-06	2023-01-12
	Rep	Dealing in futures contracts	2021-08-06	2023-01-12
	Rep	Dealing in securities	2021-08-06	2023-01-12
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-05-18	2021-04-14
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2010-12-15	2021-04-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-12-15	2009-02-16
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-12-15	2009-02-16