Personnel Hong Kong SFC License Details (ID 93243)

Personnel Hong Kong SFC License Details (ID 93243)

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	2023-03-03	-
	Rep	Dealing in securities	2023-03-03	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-03-03	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2006-07-12	2023-02-17
	Rep	Advising on futures contracts	2006-07-01	2023-02-17
	Rep	Dealing in futures contracts	2006-07-01	2023-02-17
	Rep	Dealing in securities	2006-07-01	2023-02-17
FT Securities Limited	Rep	Advising on futures contracts	2005-10-25	2006-06-17
	Rep	Dealing in futures contracts	2005-10-25	2006-06-17
	Rep	Dealing in securities	2004-04-30	2006-06-17