Personnel Hong Kong SFC License Details (ID 93347)

Personnel Hong Kong SFC License Details (ID 93347)

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
Prior Asset Management Limited	Rep	Advising on securities	2021-06-17	2022-03-07
	Rep	Asset management	2021-06-17	2022-03-07
HARRIS FRASER (INTERNATIONAL) LIMITED	Rep	Asset management	2016-03-07	2018-09-06
	Rep	Advising on securities	2015-09-07	2018-09-06
	Rep	Dealing in securities	2015-09-07	2018-09-06
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2004-12-07	2012-06-30
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	-	2004-05-31
	Rep	Advising on securities	-	2004-05-31
	Rep	Asset management	-	2004-05-31
	Rep	Dealing in securities	-	2012-06-30
RBS Asia Securities (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-05-31
	Rep	Advising on securities	-	2004-05-31
	Rep	Asset management	-	2004-05-31
	Rep	Dealing in securities	-	2005-02-04