Personnel Hong Kong SFC License Details (ID 89233)

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
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2019-09-24	2020-01-15
	Rep	Providing automated trading services	2019-09-24	2020-01-15
	Rep	Dealing in securities	2019-09-02	2020-01-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-12-27	2019-09-01
	Rep	Dealing in securities	2017-12-27	2019-09-01
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2017-04-24	2017-09-08
	Rep	Dealing in securities	2017-04-24	2017-09-08
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2017-04-24	2017-09-08
	Rep	Dealing in securities	2017-04-24	2017-09-08
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-08-09	2016-01-07
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2013-06-17	2013-08-09
	Rep	Dealing in securities	2013-06-17	2016-01-07
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2013-06-17	2016-01-07
	Rep	Dealing in securities	2013-06-17	2016-01-07
	Rep	Dealing in futures contracts	2010-12-06	2013-01-15
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-09-06	2013-01-15
	Rep	Dealing in securities	2010-09-06	2013-01-15
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-09-06	2010-12-06
	Rep	Dealing in futures contracts	2010-09-06	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-09-06	2013-01-15
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2009-09-07	2010-06-18
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2007-08-24	2009-06-02