Personnel Hong Kong SFC License Details (ID 94798)

Personnel Hong Kong SFC License Details (ID 94798)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2021-05-14	-
	Rep	Dealing in securities	2021-05-14	-
Mirae Asset Securities (HK) Limited	RO	Dealing in securities	2019-09-30	2021-01-01
	Rep	Dealing in securities	2019-03-13	2019-09-30
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2017-02-13	2019-01-15
	Rep	Dealing in securities	2017-02-13	2019-01-15
	Rep	Advising on securities	2010-08-02	2017-02-12
	Rep	Dealing in securities	2010-08-02	2017-02-12
FB SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2009-11-06	2010-07-26
	Rep	Dealing in securities	2009-11-06	2010-07-26
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2007-01-25	2008-12-05
	Rep	Dealing in securities	2007-01-25	2008-12-05
Morgan Stanley Asia Limited	Rep	Dealing in securities	2004-02-18	2005-07-22