Personnel Hong Kong SFC License Details (ID 96982)

Personnel Hong Kong SFC License Details (ID 96982)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2015-09-14	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2015-09-14	-
	Rep	Dealing in futures contracts	2015-09-14	-
	Rep	Dealing in securities	2015-09-14	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-02-17	2014-05-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-05-20	2006-07-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-05-20	2006-07-21
	Rep	Dealing in securities	2004-05-20	2006-07-21
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-01-07	2004-05-18
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-01-07	2004-05-18
BOCI Bullion Company Limited	Rep	Advising on corporate finance	2003-04-01	2003-12-03
	Rep	Advising on securities	2003-04-01	2003-12-03
	Rep	Asset management	2003-04-01	2003-12-03
	Rep	Providing automated trading services	2003-04-01	2004-04-29
	Rep	Dealing in securities	2003-04-01	2004-05-18
Goldin Equities Limited	Rep	Advising on corporate finance	2003-04-01	2003-12-03
	Rep	Advising on securities	2003-04-01	2003-12-03
	Rep	Asset management	2003-04-01	2003-12-03
	Rep	Dealing in securities	2003-04-01	2004-05-18