Personnel Hong Kong SFC License Details (ID 92185)

Personnel Hong Kong SFC License Details (ID 92185)

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
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-09-12	2022-02-28
	Rep	Dealing in securities	2017-09-12	2022-02-28
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-04-05	2017-08-04
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2017-03-22	2017-08-04
	Rep	Dealing in securities	2017-03-22	2017-08-04
IAM LEGACY LIMITED	Rep	Advising on securities	2016-05-11	2016-07-01
Pictet Asset Management (Hong Kong) Limited	Rep	Advising on securities	2008-07-28	2013-04-30
	Rep	Dealing in securities	2008-07-28	2013-04-30
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on securities	2005-04-27	2008-06-27
	Rep	Dealing in securities	2005-04-27	2008-06-27