Personnel Hong Kong SFC License Details (ID 93170)

Personnel Hong Kong SFC License Details (ID 93170)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2019-09-16	2022-08-01
	Rep	Advising on securities	2019-09-16	2022-08-01
	Rep	Dealing in futures contracts	2019-09-16	2022-08-01
	Rep	Dealing in securities	2019-09-16	2022-08-01
	RO	Advising on futures contracts	2004-10-14	2019-09-16
	RO	Dealing in futures contracts	2004-10-14	2019-09-16
RBC FUTURES SERVICES (ASIA) LIMITED	RO	Asset management	-	2003-06-18
	RO	Advising on futures contracts	-	2005-09-30
	RO	Dealing in futures contracts	-	2005-09-30
RBC INVESTMENT SERVICES (ASIA) LIMITED	RO	Advising on corporate finance	-	2004-10-14
	RO	Asset management	-	2018-05-14
	RO	Advising on securities	-	2019-09-16
	RO	Dealing in securities	-	2019-09-16