Personnel Hong Kong SFC License Details (ID 91993)

Personnel Hong Kong SFC License Details (ID 91993)

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
Funderstone Securities Limited	Rep	Dealing in securities	2012-03-08	2013-07-31
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-12-16	2011-10-04
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2005-04-28	2008-11-29
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2003-11-14
	Rep	Asset management	-	2003-11-14
	Rep	Dealing in futures contracts	-	2003-11-14
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Providing automated trading services	-	2003-09-11
	Rep	Advising on corporate finance	-	2003-11-14
	Rep	Advising on securities	-	2003-11-14
	Rep	Asset management	-	2003-11-14
	Rep	Dealing in securities	-	2003-11-14