Personnel Hong Kong SFC License Details (ID 83940)

Personnel Hong Kong SFC License Details (ID 83940)

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
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2023-07-21	-
	Rep	Providing automated trading services	2023-07-21	-
	Rep	Dealing in securities	2023-07-21	-
	RO	Advising on securities	2013-11-12	2023-07-21
	RO	Providing automated trading services	2013-11-12	2023-07-21
	RO	Dealing in securities	2013-11-12	2023-07-21
	Rep	Advising on securities	2009-09-17	2013-11-12
	Rep	Providing automated trading services	2009-09-17	2013-11-12
	Rep	Dealing in securities	2009-09-17	2013-11-12
CLSA LIMITED	Rep	Dealing in securities	2008-04-11	2009-03-11
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-03-19	2006-03-22
BLOOMBERG TRADEBOOK HONG KONG LIMITED	Rep	Providing automated trading services	2003-04-01	2003-10-01
	Rep	Advising on corporate finance	2003-04-01	2003-10-03
	Rep	Advising on securities	2003-04-01	2003-10-03
	Rep	Asset management	2003-04-01	2003-10-03
	Rep	Dealing in securities	2003-04-01	2003-10-03