Personnel Hong Kong SFC License Details (ID 96939)

Personnel Hong Kong SFC License Details (ID 96939)

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
CMB International Global Markets Limited	RO	Dealing in securities	2024-12-09	2026-06-18
	Rep	Advising on securities	2022-10-21	2026-06-18
	Rep	Dealing in securities	2021-07-13	2024-12-09
CMB International Securities Limited	Rep	Advising on securities	2021-07-13	2026-06-18
	Rep	Dealing in securities	2021-07-13	2026-06-18
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2011-03-07	2015-10-05
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2011-02-17
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in securities	2010-11-02	2011-02-17
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2009-04-22	2010-11-20
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2007-08-16	2008-12-15
	Rep	Dealing in securities	2007-08-16	2008-12-15