Personnel Hong Kong SFC License Details (ID 99772)

Personnel Hong Kong SFC License Details (ID 99772)

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
BOCI ASIA LIMITED	RO	Dealing in securities	2025-05-20	-
BOCI SECURITIES LIMITED	RO	Dealing in futures contracts	2025-05-20	-
	RO	Dealing in securities	2025-05-20	-
	Rep	Advising on securities	2024-09-04	-
	Rep	Dealing in futures contracts	2024-09-04	2025-05-20
	Rep	Dealing in securities	2024-09-04	2025-05-20
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2015-03-13	2024-04-05
	Rep	Dealing in securities	2015-03-13	2024-04-05
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-03-13	2024-04-05
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-05-28	2015-02-02
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2014-05-28	2015-02-02
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-05-28	2015-02-02
Rabo Brokerage HK Limited	Rep	Dealing in securities	2008-06-17	2013-08-31
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2007-07-20	2008-06-01
	Rep	Dealing in securities	2007-07-20	2008-06-01