Personnel Hong Kong SFC License Details (ID 99174)

Personnel Hong Kong SFC License Details (ID 99174)

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
Guosen Securities (HK) Brokerage Company, Limited	Rep	Dealing in futures contracts	2011-08-12	2012-09-28
	Rep	Dealing in securities	2011-08-12	2012-09-28
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2010-07-18	2011-08-01
	RO	Dealing in securities	2010-01-18	2010-07-18
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-06-16	2011-08-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-06-16	2010-01-18
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Advising on securities	2009-03-30	2009-06-15
	Rep	Dealing in futures contracts	2007-11-12	2009-06-15
	Rep	Dealing in securities	2007-11-12	2009-06-15
	Rep	Dealing in securities	2007-04-26	2007-07-27
	Rep	Dealing in securities	2006-09-04	2006-12-03