SFC Licences of SHANG Tat Yan 尚達人

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RO 2 01 April 2003 01 November 2011
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RO 2 01 April 2003 01 November 2011
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RO 1 01 April 2003 01 November 2011
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 RO 3 01 April 2003 01 November 2011
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RO 1 01 April 2003 01 November 2011
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 1 01 April 2003 01 November 2011
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RO 6 01 April 2003 10 September 2004
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RO 9 01 April 2003 10 September 2004
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RO 6 01 April 2003 10 September 2004
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RO 4 01 April 2003 10 September 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 9 01 April 2003 10 September 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 6 01 April 2003 10 September 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 4 01 April 2003 10 September 2004
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RO 9 01 April 2003 10 September 2004
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RO 5 01 April 2003 10 September 2004
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RO 9 01 April 2003 10 September 2004
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RO 5 01 April 2003 10 September 2004
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RO 9 01 April 2003 10 September 2004
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RO 4 01 April 2003 10 September 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 7 01 April 2003 02 September 2003