Personnel Hong Kong SFC License Details (ID 93260)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

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Current only

Organisation	Role	Activity	From	Until
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2010-11-01	2013-02-25
	Rep	Advising on securities	2010-11-01	2013-02-25
	Rep	Dealing in futures contracts	2010-11-01	2013-02-25
	Rep	Dealing in securities	2010-11-01	2013-02-25
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
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-07-23	2005-10-04
FT Securities Limited	Rep	Dealing in securities	2004-03-25	2010-10-31
DBS TD WATERHOUSE SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	-	2004-02-13
	Rep	Advising on securities	-	2004-02-13
	Rep	Asset management	-	2004-02-13
	Rep	Dealing in securities	-	2004-02-13
DBS VICKERS SECURITIES ONLINE (HK) LIMITED	Rep	Advising on corporate finance	-	2004-03-19
	Rep	Advising on securities	-	2004-03-19
	Rep	Asset management	-	2004-03-19
	Rep	Dealing in securities	-	2004-03-19
TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC. TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC.	Rep	Advising on corporate finance	-	2003-11-07
	Rep	Advising on securities	-	2003-11-07
	Rep	Asset management	-	2003-11-07
	Rep	Dealing in securities	-	2003-11-07