Personnel Hong Kong SFC License Details (ID 93216)

Personnel Hong Kong SFC License Details (ID 93216)

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
IMPERIUM INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-03-20	-
	Rep	Dealing in securities	2014-03-20	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2010-11-01	2013-09-26
	Rep	Advising on securities	2010-11-01	2013-09-26
	Rep	Dealing in futures contracts	2010-11-01	2013-09-26
	Rep	Dealing in securities	2010-11-01	2013-09-26
FT Securities Limited	Rep	Advising on futures contracts	2005-09-30	2010-10-31
	Rep	Dealing in futures contracts	2005-09-30	2010-10-31
	Rep	Advising on corporate finance	2003-04-01	2004-05-14
	Rep	Advising on securities	2003-04-01	2004-05-14
	Rep	Asset management	2003-04-01	2004-05-14
	Rep	Dealing in securities	2003-04-01	2010-10-31
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-05-14
	Rep	Asset management	2003-04-01	2004-05-14
	Rep	Dealing in futures contracts	2003-04-01	2005-10-04