Personnel Hong Kong SFC License Details (ID 97520)

Personnel Hong Kong SFC License Details (ID 97520)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-08-05	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-08-05	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2003-08-25	2009-07-28
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2003-08-25	2009-07-28
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-22
	Rep	Asset management	2003-04-01	2003-08-22
	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Dealing in futures contracts	2003-04-01	2003-08-25
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-22
	Rep	Advising on securities	2003-04-01	2003-08-22
	Rep	Asset management	2003-04-01	2003-08-22
	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Dealing in securities	2003-04-01	2003-08-25