Personnel Hong Kong SFC License Details (ID 93181)

Personnel Hong Kong SFC License Details (ID 93181)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2021-09-16	-
	Rep	Dealing in securities	2021-09-16	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2021-09-16	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2004-11-22	2021-09-01
	Rep	Dealing in futures contracts	2004-11-22	2021-09-01
RBC FUTURES SERVICES (ASIA) LIMITED	Rep	Asset management	2003-04-01	2003-06-18
	Rep	Advising on futures contracts	2003-04-01	2005-09-30
	Rep	Dealing in futures contracts	2003-04-01	2005-09-30
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-17
	Rep	Asset management	2003-04-01	2004-02-17
	Rep	Advising on securities	2003-04-01	2021-09-01
	Rep	Dealing in securities	2003-04-01	2021-09-01