Personnel Hong Kong SFC License Details (ID 84384)

Personnel Hong Kong SFC License Details (ID 84384)

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
Jefferies Hong Kong Limited	Rep	Advising on securities	2023-10-13	-
	Rep	Dealing in securities	2011-04-29	-
	Rep	Advising on securities	2011-04-29	2012-11-14
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2007-03-01	2011-02-21
	Rep	Dealing in securities	2006-08-21	2011-02-21
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-07-05	2006-07-14
	Rep	Advising on corporate finance	2003-04-01	2004-06-28
	Rep	Asset management	2003-04-01	2004-06-28
	Rep	Advising on securities	2003-04-01	2004-07-01