Personnel Hong Kong SFC License Details (ID 89566)

Personnel Hong Kong SFC License Details (ID 89566)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2021-06-23	2021-08-16
	Rep	Dealing in securities	2021-05-03	2021-08-16
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2021-05-03	2021-08-16
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-09-08	2021-04-22
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-09-08	2021-04-22
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2012-05-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-03-10	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-03-10	2010-12-06
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2005-10-19	2006-04-13
	Rep	Asset management	2005-10-19	2006-04-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-13
	Rep	Advising on securities	-	2004-10-13
	Rep	Asset management	-	2004-10-13
	Rep	Dealing in securities	-	2005-09-29