Personnel Hong Kong SFC License Details (ID 90020)

Personnel Hong Kong SFC License Details (ID 90020)

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 ASSET MANAGEMENT LIMITED	RO	Dealing in securities	2019-01-11	2023-11-30
CCB INTERNATIONAL CAPITAL LIMITED	RO	Dealing in securities	2019-01-11	2023-11-30
CCB INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2019-01-11	2023-11-30
	RO	Dealing in securities	2019-01-11	2023-11-30
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2018-09-28	2019-01-11
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2018-09-28	2019-01-11
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2018-09-28	2019-01-11
	Rep	Dealing in securities	2018-09-28	2019-01-11
NATIXIS ASIA LIMITED	Rep	Dealing in futures contracts	2008-09-12	2016-05-09
	Rep	Dealing in securities	2008-09-12	2016-05-09
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2006-10-31	2008-03-31
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2006-10-31	2008-03-31
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-10-13	2006-03-23
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2003-08-05	2006-03-23
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2003-08-05	2006-03-23