Personnel Hong Kong SFC License Details (ID 86479)

Personnel Hong Kong SFC License Details (ID 86479)

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
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2011-02-14	2012-11-30
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2009-01-07	2009-09-30
	RO	Dealing in securities	2009-01-07	2009-09-30
Rich Union Securities (H.K.) Limited	Rep	Asset management	2006-05-03	2008-12-15
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2006-05-03	2009-01-07
	Rep	Dealing in securities	2006-05-03	2009-01-07
MIRABAUD (FAR EAST) LIMITED	RO	Advising on securities	2005-06-15	2006-04-28
MIRABAUD (ASIA) LIMITED	RO	Advising on securities	2005-03-14	2006-01-27
	RO	Dealing in securities	2005-03-14	2006-01-27
MIRABAUD (FAR EAST) LIMITED	RO	Asset management	2005-03-14	2006-04-28