Personnel Hong Kong SFC License Details (ID 96286)

Personnel Hong Kong SFC License Details (ID 96286)

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
TOKAI TOKYO SECURITIES (ASIA) LIMITED	RO	Advising on securities	2017-09-06	2021-06-15
	RO	Dealing in securities	2017-09-06	2021-06-15
	Rep	Advising on securities	2017-07-17	2017-09-06
	Rep	Dealing in securities	2017-07-17	2017-09-06
	Rep	Dealing in futures contracts	2017-07-17	2021-06-15
THE CORE SECURITIES COMPANY LIMITED	Rep	Asset management	2016-11-30	2017-07-11
	RO	Advising on securities	2016-09-14	2017-07-11
	RO	Dealing in securities	2016-09-14	2017-07-11
	Rep	Advising on securities	2016-08-01	2016-09-14
	Rep	Dealing in securities	2016-08-01	2016-09-14
TOKAI TOKYO SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2016-06-20	2016-07-06
	Rep	Dealing in securities	2016-06-20	2016-07-06
	RO	Advising on securities	2016-05-27	2016-06-20
	RO	Dealing in securities	2016-05-27	2016-06-20
	Rep	Dealing in futures contracts	2015-06-22	2016-07-06
	Rep	Advising on securities	2014-09-12	2016-05-27
	Rep	Dealing in securities	2011-02-25	2016-05-27
China Reserve Securities Limited	Rep	Dealing in securities	2007-10-25	2011-02-18