Cruz, Thomas Edward
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 | 2011-02-01 | 2011-12-30 | Rep | Dealing in securities | 2011-02-01 | 2011-12-30 | Rep | Leveraged foreign exchange trading | 2011-06-22 | 2011-12-30 |
| 2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2011-01-01 | |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in futures contracts | 2011-01-01 |
| 4 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in futures contracts | 2011-01-01 |
| 5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-08-04 | Rep | Advising on securities | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in securities | 2011-01-01 |
| 6 | Quam Securities Limited | Rep | Dealing in futures contracts | 2012-06-19 | 2013-11-07 | Rep | Dealing in securities | 2012-06-19 | 2013-11-07 |
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