Personnel Hong Kong SFC License Details (ID 97557)

Personnel Hong Kong SFC License Details (ID 97557)

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	Advising on securities	2013-10-04	-
	Rep	Dealing in securities	2013-10-04	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-10-04	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2013-06-04	2013-10-01
	Rep	Dealing in securities	2011-10-19	2013-10-01
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-09-25	2011-09-23
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2003-08-18	2011-09-23
CELESTIAL SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-11
	Rep	Advising on securities	2003-04-01	2003-08-11
	Rep	Asset management	2003-04-01	2003-08-11
	Rep	Providing automated trading services	2003-04-01	2003-08-11
	Rep	Dealing in securities	2003-04-01	2003-08-11