Personnel Hong Kong SFC License Details (ID 93180)

Personnel Hong Kong SFC License Details (ID 93180)

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 securities	2006-07-10	2025-01-13
	Rep	Advising on futures contracts	2006-07-01	2025-01-13
	Rep	Dealing in futures contracts	2006-07-01	2025-01-13
	Rep	Dealing in securities	2006-07-01	2025-01-13
FT Securities Limited	Rep	Advising on futures contracts	2005-09-30	2006-06-22
	Rep	Dealing in futures contracts	2005-09-30	2006-06-22
	Rep	Dealing in securities	2004-04-02	2006-06-22
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-02	2005-10-04
Nerico Brothers Limited (HK)	Rep	Advising on futures contracts	-	2004-03-08
	Rep	Asset management	-	2004-03-08
	Rep	Dealing in futures contracts	-	2004-03-08