Pau, Alexander Ho Yin 鮑灝賢
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 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2014-01-07 | Rep | Dealing in securities | 2014-01-07 | Rep | Leveraged foreign exchange trading | 2014-01-07 | 2014-11-26 | Rep | Advising on securities | 2020-12-18 |
| 2 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2010-04-26 | 2011-01-01 |
| 3 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2010-03-29 | 2011-01-01 |
| 4 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-09-28 | 2010-03-22 |
| 5 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2009-06-05 | 2010-03-22 |
| 6 | Emperor Wealth Management Limited | Rep | Dealing in securities | 2009-11-13 | 2010-03-22 |
| 7 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2013-08-08 | 2013-12-23 |
| 8 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-06-03 | 2013-12-23 |
| 9 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2013-06-03 | 2013-12-23 |
| 10 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2006-06-08 | 2007-10-26 |
| 11 | SHENG YUAN SECURITIES LIMITED | Rep | Dealing in securities | 2011-01-20 | 2013-05-11 | Rep | Dealing in futures contracts | 2012-09-18 | 2013-05-11 |
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