Personnel Hong Kong SFC License Details (ID 88525)

Personnel Hong Kong SFC License Details (ID 88525)

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
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	RO	Dealing in securities	2014-10-06	2015-08-28
	Rep	Dealing in securities	2014-09-16	2014-10-06
	Rep	Advising on securities	2014-09-16	2015-08-28
MIZUHO SECURITIES ASIA LIMITED	RO	Dealing in securities	2011-01-13	2014-07-09
	Rep	Dealing in securities	2010-09-27	2011-01-13
	Rep	Advising on securities	2010-09-27	2014-07-09
T.F.S. Derivatives HK Limited	RO	Dealing in securities	2009-08-03	2010-08-31
	Rep	Dealing in securities	2009-06-15	2009-08-03
FOX-PITT, KELTON (ASIA) LIMITED	RO	Dealing in securities	2007-04-17	2009-03-12
	Rep	Dealing in securities	2006-07-27	2007-04-17
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2005-11-08	2006-02-09