Personnel Hong Kong SFC License Details (ID 92868)

Personnel Hong Kong SFC License Details (ID 92868)

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	Dealing in securities	2003-09-08	-
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2003-09-08	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2003-07-21	2003-09-05
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2003-07-21	2003-09-05
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-28
	Rep	Advising on securities	2003-04-01	2003-06-28
	Rep	Asset management	2003-04-01	2003-06-28
	Rep	Providing automated trading services	2003-04-01	2003-06-28
	Rep	Dealing in securities	2003-04-01	2003-06-28
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-06-28
	Rep	Asset management	2003-04-01	2003-06-28
	Rep	Dealing in futures contracts	2003-04-01	2003-06-28
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-28
	Rep	Advising on securities	2003-04-01	2003-06-28
	Rep	Asset management	2003-04-01	2003-06-28
	Rep	Providing automated trading services	2003-04-01	2003-06-28
	Rep	Dealing in securities	2003-04-01	2003-06-28