Personnel Hong Kong SFC License Details (ID 93233)

Personnel Hong Kong SFC License Details (ID 93233)

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
CAIIS Limited	Rep	Advising on securities	2012-06-12	2014-08-08
	Rep	Dealing in securities	2012-06-12	2014-08-08
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2009-01-22	2012-06-04
	Rep	Advising on securities	2009-01-22	2012-06-04
	Rep	Dealing in futures contracts	2009-01-22	2012-06-04
	Rep	Dealing in securities	2009-01-22	2012-06-04
FT Securities Limited	Rep	Dealing in securities	2004-12-21	2005-04-28
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-12-21	2005-04-28
KB Securities Hong Kong Limited	Rep	Advising on securities	2003-05-15	2004-04-28
	Rep	Dealing in securities	2003-05-15	2004-04-28