Personnel Hong Kong SFC License Details (ID 88403)

Personnel Hong Kong SFC License Details (ID 88403)

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
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-10-25	-
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-02	-
Mirae Asset Securities (HK) Limited	Rep	Advising on securities	2009-05-26	2011-07-18
	Rep	Dealing in securities	2009-05-26	2013-04-10
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2008-06-24	2009-05-08
	Rep	Advising on securities	2008-06-24	2009-05-08
	Rep	Dealing in futures contracts	2008-06-05	2009-05-08
	Rep	Dealing in securities	2008-06-05	2009-05-08
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2007-03-19	2009-05-08
	Rep	Dealing in securities	2007-03-19	2009-05-08
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-01-04	2007-02-13
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-01-04	2007-02-13
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-01-04	2007-02-13
SBI China Capital Commodities Limited	Rep	Asset management	2004-02-24	2004-12-28
	Rep	Dealing in futures contracts	2004-02-24	2004-12-28
SBI China Capital Securities Limited	Rep	Advising on corporate finance	2003-04-01	2004-01-07
	Rep	Advising on securities	2003-04-01	2004-01-07
	Rep	Asset management	2003-04-01	2004-12-28
	Rep	Dealing in securities	2003-04-01	2004-12-28