Personnel Hong Kong SFC License Details (ID 90099)

Personnel Hong Kong SFC License Details (ID 90099)

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
BNY Mellon Investment Management Hong Kong Limited	Rep	Asset management	2022-03-23	-
	RO	Dealing in futures contracts	2016-06-06	-
	RO	Dealing in securities	2016-06-06	-
	Rep	Dealing in futures contracts	2016-04-18	2016-06-06
	Rep	Dealing in securities	2016-04-18	2016-06-06
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2010-07-23	2014-11-27
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2010-07-23	2014-11-27
	Rep	Dealing in securities	2010-07-23	2014-11-27
MF Global Hong Kong Limited	Rep	Advising on securities	2008-11-06	2010-04-12
	Rep	Dealing in securities	2008-11-06	2010-04-12
	Rep	Advising on futures contracts	2008-10-02	2010-04-12
	Rep	Dealing in futures contracts	2008-10-02	2010-04-12
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-03-11	2008-08-30
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Advising on futures contracts	2007-08-13	2008-08-30
	Rep	Dealing in futures contracts	2006-05-18	2008-08-30