Personnel Hong Kong SFC License Details (ID 88570)

Personnel Hong Kong SFC License Details (ID 88570)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2017-10-03	-
	Rep	Dealing in securities	2013-01-21	-
	Rep	Dealing in securities	2011-03-16	2012-03-23
GFI (HK) SECURITIES L.L.C.	Rep	Dealing in securities	2008-11-14	2010-07-16
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2005-12-01	2008-07-01
	Rep	Advising on corporate finance	2003-04-01	2004-12-09
	Rep	Advising on securities	2003-04-01	2004-12-09
	Rep	Asset management	2003-04-01	2004-12-09
	Rep	Providing automated trading services	2003-04-01	2004-12-09
	Rep	Dealing in securities	2003-04-01	2008-07-01
BEAR STEARNS HONG KONG LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-12-09
	Rep	Asset management	2003-04-01	2004-12-09
	Rep	Dealing in futures contracts	2003-04-01	2004-12-09