Personnel Hong Kong SFC License Details (ID 98698)

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
OUTSET GLOBAL (HONG KONG) LIMITED	RO	Dealing in securities	2019-11-20	2021-01-25
MCM ASIA LIMITED (TRADING AS MCM PARTNERS) (	RO	Advising on securities	2018-11-05	2019-10-31
	RO	Dealing in securities	2018-11-05	2019-10-31
	Rep	Advising on securities	2018-09-27	2018-11-05
	Rep	Dealing in securities	2018-09-27	2018-11-05
Ord Minnett Hong Kong Limited	Rep	Dealing in securities	2018-07-03	2018-08-20
	RO	Dealing in securities	2017-12-18	2018-07-03
	Rep	Dealing in securities	2015-10-07	2017-12-18
	Rep	Advising on securities	2015-10-07	2018-08-20
	RO	Advising on securities	2014-12-16	2015-10-07
	RO	Dealing in securities	2014-12-16	2015-10-07
	Rep	Advising on securities	2014-09-17	2014-12-16
	Rep	Dealing in securities	2014-09-17	2014-12-16
BTIG Hong Kong Limited	Rep	Dealing in securities	2012-11-01	2014-09-01
CF GLOBAL (HK) LIMITED	Rep	Dealing in futures contracts	2011-01-10	2012-10-11
	Rep	Dealing in securities	2011-01-10	2012-10-11
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-11-28	2010-12-01
Newedge Broker Limited	Rep	Providing automated trading services	2008-11-28	2009-07-31
	Rep	Dealing in futures contracts	2008-11-28	2009-07-31
	Rep	Dealing in securities	2008-11-28	2009-07-31
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-11-28	2010-12-01
	Rep	Dealing in securities	2008-11-28	2010-12-01
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-04-15	2005-06-17
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-10-27	2005-06-17
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Dealing in futures contracts	2004-10-27	2005-06-17