Shang, Dickson Tat Yan 尚達人

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 HSBC BROKING SECURITIES (ASIA) LIMITED RO Automated trading services 2003-09-02
2 HSBC BROKING (CHINA) LIMITED RO Advising on corporate finance 2004-09-10
3 HSBC BROKING (CHINA) LIMITED RO Advising on securities 2004-09-10
4 HSBC BROKING (CHINA) LIMITED RO Asset management 2004-09-10
5 HSBC BROKING FUTURES (ASIA) LIMITED RO Advising on futures contracts 2004-09-10
6 HSBC BROKING FUTURES (ASIA) LIMITED RO Asset management 2004-09-10
7 HSBC BROKING FUTURES (HONG KONG) LIMITED RO Advising on futures contracts 2004-09-10
8 HSBC BROKING FUTURES (HONG KONG) LIMITED RO Asset management 2004-09-10
9 HSBC BROKING SECURITIES (ASIA) LIMITED RO Advising on corporate finance 2004-09-10
10 HSBC BROKING SECURITIES (ASIA) LIMITED RO Advising on securities 2004-09-10
11 HSBC BROKING SECURITIES (ASIA) LIMITED RO Asset management 2004-09-10
12 HSBC BROKING SECURITIES (HONG KONG) LIMITED RO Advising on corporate finance 2004-09-10
13 HSBC BROKING SECURITIES (HONG KONG) LIMITED RO Advising on securities 2004-09-10
14 HSBC BROKING SECURITIES (HONG KONG) LIMITED RO Asset management 2004-09-10
15 HSBC BROKING (CHINA) LIMITED RO Dealing in securities 2011-11-01
16 HSBC BROKING FOREX (ASIA) LIMITED RO Leveraged foreign exchange trading 2011-11-01
17 HSBC BROKING FUTURES (ASIA) LIMITED RO Dealing in futures contracts 2011-11-01
18 HSBC BROKING FUTURES (HONG KONG) LIMITED RO Dealing in futures contracts 2011-11-01
19 HSBC BROKING SECURITIES (ASIA) LIMITED RO Dealing in securities 2011-11-01
20 HSBC BROKING SECURITIES (HONG KONG) LIMITED RO Dealing in securities 2011-11-01

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