Personnel Hong Kong SFC License Details (ID 91237)

Personnel Hong Kong SFC License Details (ID 91237)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Advising on securities	2020-10-21	-
	Rep	Dealing in securities	2020-10-21	-
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2020-10-21	-
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2012-05-21	2020-01-29
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-02-13	2020-01-29
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-02-13	2020-01-29
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-12-06	2009-02-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-05-14
	Rep	Asset management	2003-04-01	2004-05-14
	Rep	Dealing in futures contracts	2003-04-01	2009-02-01