Personnel Hong Kong SFC License Details (ID 98373)

Personnel Hong Kong SFC License Details (ID 98373)

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
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2020-12-04	2021-12-16
	Rep	Asset management	2020-12-04	2021-12-16
	Rep	Dealing in securities	2020-11-20	2021-12-16
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2020-07-27	2020-11-06
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2020-07-27	2020-11-06
OPEN ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2019-10-22	2020-04-17
Open Securities Limited	Rep	Advising on securities	2019-10-22	2020-04-17
OPEN ASSET MANAGEMENT LIMITED	Rep	Asset management	2018-09-11	2020-04-17
Open Securities Limited	Rep	Dealing in futures contracts	2018-04-04	2020-04-17
	Rep	Dealing in securities	2018-04-04	2020-04-17
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2010-03-05	2012-08-16
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2004-12-16	2006-11-01
	Rep	Dealing in securities	2004-12-16	2006-11-01