Personnel Hong Kong SFC License Details (ID 97101)

Personnel Hong Kong SFC License Details (ID 97101)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2022-04-29	-
	Rep	Dealing in securities	2022-04-29	-
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Rep	Asset management	2019-07-05	2022-01-12
	Rep	Advising on securities	2019-05-09	2022-01-12
	Rep	Dealing in securities	2019-05-09	2022-01-12
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2017-09-13	2018-09-25
	Rep	Dealing in futures contracts	2015-03-05	2018-09-25
	Rep	Dealing in securities	2015-03-05	2018-09-25
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-03-07	2015-01-06