Personnel Hong Kong SFC License Details (ID 90504)

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
Marex Financial Services Hong Kong Limited	RO	Dealing in futures contracts	2024-02-06	-
	RO	Dealing in securities	2024-02-06	-
	Rep	Dealing in futures contracts	2023-12-01	2024-02-06
	Rep	Dealing in securities	2023-12-01	2024-02-06
Xeram and Company (Asia) Limited	RO	Dealing in futures contracts	2019-05-17	2023-11-30
	RO	Dealing in securities	2019-05-17	2023-11-30
Makto Capital Management Limited	RO	Advising on securities	2017-09-20	2018-02-08
	Rep	Advising on securities	2017-05-23	2017-09-20
	Rep	Asset management	2017-05-23	2018-02-08
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2014-06-04	2015-11-30
	Rep	Dealing in futures contracts	2014-06-04	2016-11-25
	Rep	Dealing in securities	2014-06-04	2016-11-25
CICC US Securities (Hong Kong) Limited	RO	Dealing in securities	2013-10-24	2013-12-23
	Rep	Dealing in securities	2012-11-28	2013-10-24
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2012-08-13	2013-12-23
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2012-08-13	2013-12-23
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-15	2012-06-20
	Rep	Dealing in securities	2011-08-15	2012-06-20
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-02	2012-06-20
	Rep	Dealing in securities	2011-08-02	2012-06-20
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2010-09-16	2011-01-10
	RO	Dealing in securities	2010-09-16	2011-01-10
BEAR STEARNS ASIA LIMITED	RO	Advising on futures contracts	2008-09-24	2009-11-30
	RO	Advising on securities	2008-09-24	2009-11-30
	RO	Dealing in futures contracts	2008-09-24	2009-11-30
	RO	Dealing in securities	2008-09-24	2009-11-30
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2008-09-24	2011-01-10
	RO	Advising on securities	2008-09-24	2011-01-10
	RO	Dealing in futures contracts	2008-09-24	2011-01-10
	RO	Dealing in securities	2008-09-24	2011-01-10
	Rep	Advising on futures contracts	2008-05-13	2008-09-24
	Rep	Advising on securities	2008-05-13	2008-09-24
	Rep	Dealing in futures contracts	2008-04-18	2008-09-24
	Rep	Dealing in securities	2008-04-18	2008-09-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-06-11	2008-03-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-06-01
	Rep	Advising on securities	2003-04-01	2004-06-01
	Rep	Asset management	2003-04-01	2004-06-01
	Rep	Dealing in securities	2003-04-01	2008-03-04
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-01
	Rep	Advising on securities	2003-04-01	2004-06-01
	Rep	Asset management	2003-04-01	2004-06-01
	Rep	Dealing in securities	2003-04-01	2008-03-04