Personnel Hong Kong SFC License Details (ID 91119)

Personnel Hong Kong SFC License Details (ID 91119)

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
Liquidnet Asia Limited	Rep	Providing automated trading services	2022-11-08	2023-02-28
	Rep	Dealing in securities	2022-11-08	2023-02-28
Macquarie Asia Securities Limited	Rep	Advising on securities	2020-09-30	2022-03-16
	Rep	Dealing in securities	2020-09-30	2022-03-16
BTIG Hong Kong Limited	Rep	Dealing in securities	2017-02-01	2019-06-26
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2015-08-26	2016-08-12
	Rep	Dealing in securities	2015-08-26	2016-08-12
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-08-26	2016-08-12
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2014-10-08	2015-04-10
OCP Asia (Hong Kong) Limited	Rep	Advising on futures contracts	2011-02-28	2012-08-17
	Rep	Advising on securities	2011-02-28	2012-08-17
	Rep	Asset management	2011-02-28	2012-08-17
	Rep	Advising on futures contracts	2006-08-31	2010-08-16
	Rep	Advising on securities	2006-08-31	2010-08-16
	Rep	Asset management	2006-08-31	2010-08-16