Personnel Hong Kong SFC License Details (ID 93240)

Personnel Hong Kong SFC License Details (ID 93240)

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 futures contracts	2014-01-24	2014-05-01
	Rep	Advising on securities	2014-01-24	2014-05-01
	Rep	Dealing in futures contracts	2014-01-24	2014-05-01
	Rep	Dealing in securities	2014-01-24	2014-05-01
	Rep	Advising on futures contracts	2004-12-08	2013-08-31
	Rep	Dealing in futures contracts	2004-12-08	2013-08-31
RBC FUTURES SERVICES (ASIA) LIMITED	Rep	Asset management	-	2003-06-18
	Rep	Advising on futures contracts	-	2005-09-30
	Rep	Dealing in futures contracts	-	2005-09-30
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-18
	Rep	Asset management	-	2004-02-18
	Rep	Advising on securities	-	2013-08-31
	Rep	Dealing in securities	-	2013-08-31