Personnel Hong Kong SFC License Details (ID 83509)

Personnel Hong Kong SFC License Details (ID 83509)

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
T.F.S. Derivatives HK Limited	RO	Dealing in securities	2019-04-08	-
	Rep	Dealing in securities	2019-02-08	2019-04-08
TULLETT PREBON (HONG KONG) LIMITED	RO	Providing automated trading services	2017-07-27	2018-11-12
	RO	Dealing in securities	2017-07-27	2018-11-12
	Rep	Providing automated trading services	2015-07-31	2017-07-27
	Rep	Dealing in securities	2015-07-31	2017-07-27
GFI (HK) SECURITIES L.L.C.	Rep	Providing automated trading services	2013-07-02	2015-02-11
	Rep	Dealing in securities	2013-07-02	2015-02-11
ICAP Equities Asia Limited	RO	Dealing in securities	2010-11-19	2013-05-31
	Rep	Dealing in securities	2010-08-17	2010-11-19
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in securities	2008-10-13	2010-06-01
Newedge Broker Limited	Rep	Providing automated trading services	2007-01-17	2009-07-31
	Rep	Dealing in securities	2007-01-17	2009-07-31