Hong Kong SFC licence holder AAZ517, NG Chi Kwan, Stephen 吳志坤

These are the details that were found for SFC licence holder AAZ517 on the SFC website.

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Key for Role: RE = Representative, RO = Responsible Officer

Institution Role Activity Start date End date
HSBC Broking Securities (Hong Kong) Limited RO Dealing in Securities 2013-12-03 2018-04-30
HSBC Broking Securities (Asia) Limited RO Dealing in Securities 2003-04-01 2018-04-30
HSBC Broking Futures (Asia) Limited RO Dealing in Futures Contracts 2013-12-03 2018-04-30
HSBC Broking Forex (Asia) Limited RO Leveraged Foreign Exchange Trading 2003-08-07 2018-04-30
HSBC Broking Futures (Asia) Limited RE Dealing in Futures Contracts 2003-04-01 2013-12-03
HSBC Broking (Data Services) Limited RO Advising on Securities 2003-04-01 2004-01-01
HSBC Broking (Data Services) Limited RO Asset Management 2003-04-01 2004-01-01
HSBC Broking Securities (Asia) Limited RE Providing Automated Trading Services 2003-08-01 2003-09-02
HSBC Broking Forex (Asia) Limited RE Leveraged Foreign Exchange Trading 2003-04-01 2003-08-07
HSBC Broking Securities (Asia) Limited RO Advising on Securities 2003-04-01 2003-08-01
HSBC Broking Futures (Asia) Limited RE Advising on Futures Contracts 2003-04-01 2003-08-01
HSBC Broking Securities (Asia) Limited RO Advising on Corporate Finance 2003-04-01 2003-08-01
HSBC Broking Securities (Asia) Limited RO Providing Automated Trading Services 2003-04-01 2003-08-01
HSBC Broking Futures (Asia) Limited RE Asset Management 2003-04-01 2003-08-01
HSBC Broking Securities (Asia) Limited RO Asset Management 2003-04-01 2003-08-01

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