Personnel Hong Kong SFC License Details (ID 95919)

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
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2020-08-26	2020-12-04
	Rep	Dealing in securities	2020-08-26	2020-12-04
BGC SECURITIES (HONG KONG) LLC	Rep	Dealing in futures contracts	2019-01-21	2019-07-10
	Rep	Dealing in securities	2019-01-21	2019-07-10
De Riva Asia Limited	Rep	Dealing in futures contracts	2015-02-06	2017-04-30
	Rep	Dealing in securities	2015-02-06	2017-04-30
Sunrise Brokers (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-10-17	2014-03-31
	Rep	Dealing in securities	2011-10-17	2014-03-31
T.F.S. Derivatives HK Limited	Rep	Dealing in futures contracts	2010-05-25	2011-09-30
	Rep	Dealing in securities	2010-05-25	2011-09-30
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-12-22	2010-03-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-12-22	2010-03-19
	Rep	Dealing in securities	2009-12-22	2010-03-19
T.F.S. Derivatives HK Limited	Rep	Dealing in futures contracts	2009-06-15	2009-12-15
	Rep	Dealing in securities	2009-06-15	2009-12-15
Macquarie Asia Securities Limited	Rep	Dealing in futures contracts	2008-07-10	2008-12-10
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2008-07-10	2008-12-10
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-07-10	2008-12-10
ASIA PACIFIC INVESTMENT ADVISORS LIMITED	Rep	Asset management	2007-10-02	2008-03-31
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-22	2006-04-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-06-28	2006-04-28
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-06-28	2006-04-28
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2003-09-16	2004-06-16
CLSA LIMITED	Rep	Dealing in securities	2003-09-16	2004-06-16