Personnel Hong Kong SFC License Details (ID 93203)

Personnel Hong Kong SFC License Details (ID 93203)

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	2023-03-02	-
	Rep	Dealing in securities	2023-03-02	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-03-02	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2006-07-28	2022-08-10
	Rep	Advising on securities	2006-07-28	2022-08-10
	Rep	Dealing in futures contracts	2006-07-17	2022-08-10
	Rep	Dealing in securities	2006-07-17	2022-08-10
FT Securities Limited	Rep	Dealing in futures contracts	2005-11-01	2006-06-17
	Rep	Dealing in securities	2005-11-01	2006-06-17