Personnel Hong Kong SFC License Details (ID 92571)

Personnel Hong Kong SFC License Details (ID 92571)

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-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2021-06-24	2021-09-04
	Rep	Dealing in securities	2021-06-24	2021-09-04
FWD Financial Planning Limited (HK)	RO	Advising on securities	2018-08-30	2020-09-04
	RO	Dealing in securities	2018-08-30	2020-09-04
	Rep	Advising on securities	2018-03-02	2018-08-30
	Rep	Dealing in securities	2018-02-02	2018-08-30
Yuanta Securities (Hong Kong) Company Limited	Rep	Asset management	2016-07-26	2017-12-28
	Rep	Dealing in securities	2012-06-27	2017-12-28
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2010-06-30	2013-04-10
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2008-03-31	2010-05-15