Personnel Hong Kong SFC License Details (ID 98382)

Personnel Hong Kong SFC License Details (ID 98382)

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
BERICH BROKERAGE LIMITED	Rep	Dealing in securities	2021-07-30	2022-10-31
BERICH FUTURES (H.K.) COMPANY LIMITED	Rep	Dealing in futures contracts	2021-07-30	2022-10-31
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2015-09-21	2018-08-23
	RO	Advising on securities	2011-11-30	2018-08-23
	RO	Dealing in securities	2011-11-30	2018-08-23
	Rep	Advising on securities	2009-07-09	2011-11-30
	Rep	Dealing in securities	2009-07-09	2011-11-30
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2004-11-02	2008-11-20
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2008-11-20
	Rep	Dealing in securities	-	2008-11-20
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2008-11-20
	Rep	Dealing in futures contracts	-	2008-11-20