Personnel Hong Kong SFC License Details (ID 94777)

Personnel Hong Kong SFC License Details (ID 94777)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2022-06-20	-
	Rep	Advising on securities	2022-06-20	-
	Rep	Asset management	2022-06-20	-
	Rep	Dealing in futures contracts	2022-06-20	-
	Rep	Dealing in securities	2022-06-20	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2022-06-20	-
CEB International Asset Management Corporation Limited	Rep	Advising on securities	2017-01-13	2018-07-12
	Rep	Asset management	2017-01-13	2018-07-12
CEB International Capital Corporation Limited	Rep	Dealing in securities	2016-05-16	2016-11-03
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-05-27	2016-03-18
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2015-05-27	2016-03-18
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-21	2015-04-22
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-04-16	2014-03-31
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-08-01	2015-04-22