Personnel Hong Kong SFC License Details (ID 94179)

Personnel Hong Kong SFC License Details (ID 94179)

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
BTIG Hong Kong Limited	Rep	Dealing in securities	2015-10-26	2020-02-28
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2015-03-05	2015-04-30
	Rep	Dealing in futures contracts	2015-03-05	2015-04-30
	Rep	Dealing in securities	2011-05-30	2015-04-30
MIRABAUD (ASIA) LIMITED	Rep	Advising on securities	2010-08-30	2011-04-22
	Rep	Dealing in securities	2010-08-30	2011-04-22
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2009-04-30	2010-05-19
	Rep	Dealing in securities	2009-04-30	2010-05-19
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2006-04-03	2009-01-22
	Rep	Providing automated trading services	2006-04-03	2009-01-22
	Rep	Dealing in securities	2006-04-03	2009-01-22
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2004-01-05	2004-05-25
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2003-09-25	2004-05-25
RBS Asia Securities (Hong Kong) Limited	Rep	Dealing in securities	2003-09-25	2004-05-25
BGC SECURITIES (HONG KONG) LLC	Rep	Advising on corporate finance	-	2003-09-01
	Rep	Advising on securities	-	2003-09-01
	Rep	Asset management	-	2003-09-01
	Rep	Dealing in securities	-	2003-09-01