Personnel Hong Kong SFC License Details (ID 92291)

Personnel Hong Kong SFC License Details (ID 92291)

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
LBN Advisers Limited	Rep	Asset management	2015-06-03	2018-08-31
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2012-10-12	2015-01-08
	Rep	Dealing in securities	2012-10-12	2015-01-08
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2010-08-03	2012-08-25
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Dealing in securities	2010-07-02	2012-08-25
	Rep	Dealing in securities	2010-03-02	2010-07-02
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-04-29	2010-02-19
MF Securities Hong Kong Limited	Rep	Dealing in securities	2009-04-03	2009-04-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-08-20	2008-11-07
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2007-04-17	2007-07-21
	Rep	Advising on securities	2005-08-10	2007-07-21
BOCI RESEARCH LIMITED	Rep	Advising on corporate finance	-	2004-05-18
	Rep	Advising on securities	-	2005-08-08