Personnel Hong Kong SFC License Details (ID 94087)

Personnel Hong Kong SFC License Details (ID 94087)

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
Nuvama Investment Advisors (Hongkong) Private Limited	RO	Advising on futures contracts	2020-04-14	-
	RO	Advising on securities	2020-04-14	-
	RO	Dealing in futures contracts	2020-04-14	-
	RO	Dealing in securities	2020-04-14	-
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2018-09-24	2019-11-21
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-09-24	2019-11-21
Saxo Capital Markets HK Limited	RO	Dealing in securities	2018-03-14	2018-03-27
	Rep	Dealing in securities	2016-08-18	2018-03-14
	Rep	Dealing in futures contracts	2016-08-18	2018-03-27
	Rep	Leveraged foreign exchange trading	2016-08-18	2018-03-27
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2015-03-05	2015-05-19
	Rep	Dealing in futures contracts	2015-03-05	2015-05-19
	Rep	Dealing in securities	2010-08-10	2015-05-19
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-11-03	2010-07-28
BEAR STEARNS ASIA LIMITED	Rep	Dealing in securities	2004-07-16	2005-09-06
BEAR STEARNS HONG KONG LIMITED	Rep	Dealing in futures contracts	2004-07-16	2004-11-23