Personnel Hong Kong SFC License Details (ID 92345)

Personnel Hong Kong SFC License Details (ID 92345)

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
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2019-10-16	2023-10-31
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2018-12-04	2023-10-31
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2018-12-04	2023-10-31
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-02-06	2018-11-09
	Rep	Dealing in securities	2011-12-28	2018-11-09
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2010-01-19	2011-11-26
T.F.S. Derivatives HK Limited	Rep	Dealing in securities	2009-11-23	2009-12-04
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in securities	2008-10-13	2009-06-15
Newedge Broker Limited	Rep	Providing automated trading services	2008-01-03	2009-06-15
	Rep	Dealing in securities	2008-01-03	2009-06-15
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-03-04	2007-11-11
STOCKWELL SECURITIES LIMITED	Rep	Dealing in securities	2005-02-04	2005-02-28