Personnel Hong Kong SFC License Details (ID 92518)

Personnel Hong Kong SFC License Details (ID 92518)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2018-10-31	-
	Rep	Dealing in securities	2018-09-11	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2014-10-13	2018-06-28
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2012-06-22	2014-01-30
	Rep	Dealing in securities	2012-06-22	2014-01-30
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-03-09	2014-01-30
	Rep	Dealing in securities	2010-03-24	2014-01-30
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-11-26	2007-11-14