Personnel Hong Kong SFC License Details (ID 84740)

Personnel Hong Kong SFC License Details (ID 84740)

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
Grandbay Capital Limited	RO	Advising on securities	2020-11-25	2021-12-12
	RO	Asset management	2020-11-25	2021-12-12
Grandbay Securities Limited	RO	Dealing in securities	2020-08-28	2021-12-12
	Rep	Dealing in securities	2020-07-06	2020-08-28
North Beta International Securities Limited	RO	Advising on securities	2015-11-06	2020-07-03
	RO	Dealing in securities	2012-04-27	2020-07-03
	Rep	Dealing in securities	2012-03-22	2012-04-27
KARL-THOMSON SECURITIES COMPANY LIMITED	RO	Dealing in securities	2009-09-10	2012-03-09
KARL THOMSON FINANCE LIMITED	Rep	Securities margin financing	-	2012-03-09
KARL-THOMSON SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2004-05-10
	Rep	Advising on securities	-	2004-05-10
	Rep	Asset management	-	2004-05-10
	Rep	Providing automated trading services	-	2004-05-10
	Rep	Dealing in securities	-	2009-09-10