Personnel Hong Kong SFC License Details (ID 94848)

Personnel Hong Kong SFC License Details (ID 94848)

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
MARSHALL WACE ASIA LIMITED	Rep	Asset management	2018-08-16	2024-10-04
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2017-12-22	2018-07-11
	RO	Advising on securities	2017-12-22	2018-07-11
	Rep	Dealing in futures contracts	2017-12-22	2018-07-11
	RO	Dealing in securities	2017-12-22	2018-07-11
	Rep	Advising on securities	2011-06-28	2017-12-22
	Rep	Dealing in securities	2011-06-28	2017-12-22
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2009-06-15	2010-05-01
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2009-05-25	2010-05-01
orientiert International Markets Limited	Rep	Advising on securities	2008-12-02	2008-12-31
	Rep	Asset management	2008-12-02	2008-12-31
	Rep	Dealing in securities	2008-11-01	2008-12-31
SHINKO SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2006-03-30	2008-10-22