Personnel Hong Kong SFC License Details (ID 91233)

Personnel Hong Kong SFC License Details (ID 91233)

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	2021-03-23	-
	Rep	Dealing in securities	2021-03-23	-
BTIG Hong Kong Limited	Rep	Dealing in securities	2020-01-10	2021-01-22
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2009-11-17	2020-01-05
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-09-30	2020-01-05
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-09-30	2020-01-05
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2007-11-20	2009-03-05
CLSA LIMITED	Rep	Dealing in securities	2007-02-21	2009-03-05