Personnel Hong Kong SFC License Details (ID 94175)

Personnel Hong Kong SFC License Details (ID 94175)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2022-07-12	-
	Rep	Dealing in securities	2022-07-12	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2016-03-18	2022-02-16
	Rep	Advising on securities	2016-03-18	2022-02-16
	Rep	Providing automated trading services	2016-03-18	2022-02-16
	Rep	Dealing in futures contracts	2016-03-18	2022-02-16
	Rep	Dealing in securities	2016-03-18	2022-02-16
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2015-03-20	2016-01-21
	Rep	Dealing in securities	2015-03-20	2016-01-21
SG SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-07-22	2015-01-15
	Rep	Providing automated trading services	2008-06-24	2015-01-15
	Rep	Dealing in securities	2008-06-24	2015-01-15