Personnel Hong Kong SFC License Details (ID 85598)

Personnel Hong Kong SFC License Details (ID 85598)

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
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2015-11-26	2017-03-31
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2006-11-07	2015-05-31
3V Capital Limited	Rep	Dealing in securities	2006-06-14	2006-10-12
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2004-01-12	2006-06-01
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2003-10-23	2004-01-05
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2003-05-30
	Rep	Advising on securities	-	2003-05-30
	Rep	Asset management	-	2003-05-30
	Rep	Dealing in securities	-	2003-05-30
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	-	2003-05-30
	Rep	Advising on securities	-	2003-05-30
	Rep	Asset management	-	2003-05-30
	Rep	Dealing in securities	-	2003-05-30