Personnel Hong Kong SFC License Details (ID 88411)

Personnel Hong Kong SFC License Details (ID 88411)

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
Oppenheimer Investments Asia Limited	RO	Dealing in securities	2018-01-26	-
	RO	Advising on securities	2014-03-21	-
	Rep	Advising on securities	2014-01-17	2014-03-21
	Rep	Dealing in securities	2014-01-17	2018-01-26
Mirae Asset Securities (HK) Limited	Rep	Dealing in securities	2011-08-16	2012-07-31
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2009-03-25	2011-08-01
	Rep	Dealing in futures contracts	2009-03-13	2011-08-01
	Rep	Dealing in securities	2009-03-13	2011-08-01
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2008-08-11	2008-11-07
	Rep	Dealing in securities	2008-08-11	2008-11-07
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2008-08-11	2008-11-07
	Rep	Dealing in futures contracts	2008-08-11	2008-11-07
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-04-19	2005-11-14
NH INVESTMENT &AMP; SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-13
	Rep	Advising on securities	2003-04-01	2004-01-13
	Rep	Asset management	2003-04-01	2004-01-13
	Rep	Dealing in securities	2003-04-01	2005-03-29