Personnel Hong Kong SFC License Details (ID 92845)

Personnel Hong Kong SFC License Details (ID 92845)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Asset management	2009-03-12	-
	Rep	Dealing in securities	2008-12-05	-
Nerico Brothers Limited (HK)	Rep	Dealing in securities	2008-05-14	2008-10-15
Asia Pacific Securities Limited	Rep	Dealing in securities	2006-09-01	2007-03-31
GT CAPITAL LIMITED	Rep	Dealing in securities	2006-03-06	2006-08-31
Quam Securities Limited	Rep	Dealing in securities	2004-11-22	2006-02-06
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2004-09-13	2004-10-19