Personnel Hong Kong SFC License Details (ID 92452)

Personnel Hong Kong SFC License Details (ID 92452)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2017-05-22	-
CLC SECURITIES LIMITED	Rep	Dealing in securities	2015-01-21	2017-02-14
CAPITAL GLOBAL MANAGEMENT LIMITED	Rep	Dealing in securities	2014-05-26	2015-01-13
Open Securities Limited	Rep	Dealing in futures contracts	2013-07-12	2014-03-21
	Rep	Dealing in securities	2013-07-12	2014-03-21
	Rep	Dealing in futures contracts	2012-07-05	2013-04-30
	Rep	Dealing in securities	2012-07-05	2013-04-30
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-05-23	2012-06-01
	Rep	Dealing in securities	2008-05-23	2012-06-01