Personnel Hong Kong SFC License Details (ID 89198)

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
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2024-10-21	-
	RO	Dealing in futures contracts	2024-10-21	-
	RO	Dealing in securities	2024-10-21	-
	Rep	Advising on securities	2024-07-09	2024-10-21
	Rep	Dealing in futures contracts	2024-07-09	2024-10-21
	Rep	Dealing in securities	2024-07-09	2024-10-21
CEB International Capital Corporation Limited	RO	Advising on corporate finance	2024-05-24	2024-07-02
	RO	Advising on securities	2018-12-07	2024-07-02
	RO	Dealing in securities	2018-12-07	2024-07-02
	Rep	Advising on securities	2018-10-22	2018-12-07
	Rep	Dealing in securities	2018-10-22	2018-12-07
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2014-05-26
	Rep	Dealing in futures contracts	2010-12-06	2014-05-26
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-01-15	2013-07-24
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-01-15	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-01-15	2014-05-26
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2009-06-08	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2009-05-27	2014-05-26
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2006-08-14	2008-12-15
	Rep	Dealing in securities	2006-08-14	2008-12-15
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2006-06-13	2006-06-29
	Rep	Advising on securities	2005-02-24	2006-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-10-19
	Rep	Advising on futures contracts	2003-04-01	2004-10-19
	Rep	Advising on securities	2003-04-01	2004-10-19
	Rep	Asset management	2003-04-01	2004-10-19
	Rep	Dealing in futures contracts	2003-04-01	2004-10-19