Personnel Hong Kong SFC License Details (ID 89833)

Personnel Hong Kong SFC License Details (ID 89833)

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 International Global Markets Limited	Rep	Dealing in futures contracts	2018-02-28	2019-05-25
	Rep	Dealing in securities	2018-02-28	2019-05-25
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2016-10-28	2017-12-23
	Rep	Dealing in securities	2016-10-28	2017-12-23
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2016-10-28	2017-12-23
SC Lowy Asset Management (HK) Limited	Rep	Asset management	2015-06-05	2015-08-26
SC Lowy Financial (HK) Limited	Rep	Dealing in securities	2014-08-25	2015-08-26
VTB Capital Hong Kong Limited	Rep	Dealing in securities	2012-11-05	2014-07-31
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2012-08-09	2012-10-05
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-06-28	2012-10-05
	Rep	Dealing in securities	2010-06-28	2012-10-05