Personnel Hong Kong SFC License Details (ID 94758)

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.

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Current only

Organisation	Role	Activity	From	Until
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2017-02-13	2017-05-16
	RO	Advising on securities	2017-02-13	2017-05-16
	RO	Asset management	2017-02-13	2017-05-16
	RO	Dealing in futures contracts	2017-02-13	2017-05-16
	RO	Dealing in securities	2017-02-13	2017-05-16
SINOPAC ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2016-08-01	2016-11-08
	Rep	Asset management	2016-08-01	2016-11-08
	Rep	Dealing in securities	2016-08-01	2016-11-08
	RO	Advising on securities	2014-07-25	2016-08-01
	RO	Asset management	2014-07-25	2016-08-01
	RO	Dealing in securities	2014-07-25	2016-08-01
SINOPAC FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2013-11-12	2014-03-31
	RO	Asset management	2013-11-12	2014-03-31
	RO	Dealing in futures contracts	2013-11-12	2014-03-31
SINOPAC SECURITIES (ASIA) LIMITED	RO	Asset management	2013-11-12	2017-02-12
	RO	Advising on futures contracts	2013-08-22	2017-02-12
	RO	Advising on securities	2013-08-22	2017-02-12
	RO	Dealing in futures contracts	2013-08-22	2017-02-12
	RO	Dealing in securities	2013-08-22	2017-02-12
	Rep	Dealing in futures contracts	2013-05-28	2013-08-22
SINOPAC FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2013-04-10	2013-11-12
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2013-04-10	2013-08-22
SINOPAC FUTURES (ASIA) LIMITED	Rep	Asset management	2012-01-27	2013-11-12
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2010-03-29	2013-08-22
	RO	Dealing in securities	2009-06-22	2010-01-22
	Rep	Asset management	2009-06-22	2013-11-12
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-04-23	2013-11-12
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2009-04-23	2009-06-22
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in securities	2005-01-05	2008-05-14
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2004-11-30	2008-05-14