Personnel Hong Kong SFC License Details (ID 90206)

Personnel Hong Kong SFC License Details (ID 90206)

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
Nittan Securities Asia Limited	RO	Dealing in securities	2010-06-25	2011-09-15
	Rep	Dealing in securities	2010-06-07	2010-06-25
CEPA ALLIANCE SECURITIES LIMITED	RO	Dealing in securities	2010-03-19	2010-05-31
Rifa Securities Limited	RO	Dealing in securities	2007-12-24	2008-11-01
	Rep	Dealing in securities	2007-11-22	2007-12-24
CEPA ALLIANCE SECURITIES LIMITED	RO	Dealing in securities	2007-06-20	2007-11-09
EAA SECURITIES LIMITED	RO	Advising on securities	2006-02-03	2007-05-14
	RO	Dealing in securities	2006-02-03	2007-05-14
CEPA ALLIANCE SECURITIES LIMITED	RO	Dealing in securities	2004-03-17	2005-12-28
Yuanta Asia Investment (Hong Kong) Limited	RO	Dealing in securities	-	2003-04-28