Personnel Hong Kong SFC License Details (ID 89180)

Personnel Hong Kong SFC License Details (ID 89180)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2022-05-18	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2013-06-03	2015-08-07
	Rep	Dealing in futures contracts	2013-06-03	2015-08-07
	Rep	Dealing in securities	2013-06-03	2015-08-07
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-12-04	2013-04-20
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2012-09-10	2013-04-20
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2012-09-10	2012-12-04
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2012-06-04
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-03-28	2012-06-04
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-03-28	2010-12-06
	Rep	Dealing in futures contracts	2004-02-24	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2004-02-09	2012-06-04
CLSA 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	2004-01-07
	Rep	Dealing in securities	2003-04-01	2004-01-07