Personnel Hong Kong SFC License Details (ID 94297)

Personnel Hong Kong SFC License Details (ID 94297)

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
Quam Securities Limited	RO	Dealing in futures contracts	2020-05-11	2022-03-08
	RO	Dealing in securities	2020-05-11	2022-03-08
	Rep	Dealing in futures contracts	2020-02-24	2020-05-11
	Rep	Dealing in securities	2020-02-24	2020-05-11
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on futures contracts	2017-02-22	2020-01-27
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2008-08-18	2020-01-27
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2008-08-18	2020-01-27
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2007-10-02	2008-08-18
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2007-10-02	2008-08-18
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2004-02-21	2007-09-22
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2003-10-03	2007-09-22
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2003-09-21
	Rep	Asset management	-	2003-09-21
	Rep	Dealing in futures contracts	-	2003-09-21
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Providing automated trading services	-	2003-09-11
	Rep	Advising on corporate finance	-	2003-09-21
	Rep	Advising on securities	-	2003-09-21
	Rep	Asset management	-	2003-09-21
	Rep	Dealing in securities	-	2003-09-21