Personnel Hong Kong SFC License Details (ID 88574)

Personnel Hong Kong SFC License Details (ID 88574)

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
ICBC INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2020-03-25	-
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2020-03-25	-
	RO	Dealing in securities	2020-03-25	-
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2019-08-02	2020-03-25
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2019-02-20	2020-03-25
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-12-07	2019-02-10
	Rep	Dealing in securities	2017-11-06	2019-02-10
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2017-06-26	2017-09-18
	Rep	Dealing in securities	2017-06-26	2017-09-18
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2014-01-16	2017-06-25
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2013-12-11	2017-06-25
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-01-11	2013-10-16
Income Partners Asset Management (HK) Limited	Rep	Advising on securities	2006-10-10	2008-11-27
	Rep	Asset management	2006-10-10	2008-11-27
	Rep	Advising on corporate finance	2006-08-14	2008-11-27
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2004-04-30	2006-03-20
	Rep	Dealing in securities	2004-04-30	2006-03-20