Personnel Hong Kong SFC License Details (ID 90355)

Personnel Hong Kong SFC License Details (ID 90355)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2013-09-03	-
	Rep	Dealing in securities	2013-09-03	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2011-07-18	2013-03-20
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-08-28	2010-07-24
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-08-28	2010-07-24
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-05-14	2009-07-29
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-03-18	2009-07-29
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2005-12-06	2007-05-16