July 14, 2020
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About the Legal Entity HSBC BROKING SERVICES (ASIA) LIMITED This Legal Entity with code 549300EQI2U1JDWE9P35 was issued on Wednesday Mar 13, 2013 at 2:34AM for HSBC BROKING SERVICES (ASIA) LIMITED headquartered in CENTRAL (HK) by LONDON STOCK EXCHANGE LEI LIMITED.

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2018/07/20 · SFC reprimands and fines HSBC Broking Securities (Asia) Limited $9.6 Million for Regulatory Breaches Over Bond Sale. July 20, 2018. The Securities and Futures Commission (SFC) has reprimanded and fined HSBC Broking Securities (Asia) Limited (HSBCBS) $9.6 million for systemic deficiencies in its bond selling practices (Note 1).

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Background. HSBC Broking Securities (Asia) Limited (“HSBC”) has between April 2015 and March 2016, executed 378 transactions of bonds listed under Chapter 37 of the Main Board Listing Rules (“Chapter 37 Bonds”), 153 of which involved recommendations or solicitations made to clients.The Securities and Futures Commission (the “SFC”) found that HSBC has systemic deficiencies in

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View Rainie Hui’s profile on LinkedIn, the world's largest professional community. - Order placement of various investment products provided (i.e. Stocks, Bonds, Derivatives, Forex, Bullion, IPO, Placement) for the clients Assistant Vice President at HSBC Broking Services (Asia) Limited & Co-Founder at LeverLab Ltd.

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HSBC BROKING FOREX (ASIA) LIMITED was incorporated on 1994-09-20 as a Private company limited by shares registered in Hong Kong. It's company registration number is: 0491803. The date of annual examination for this private company limited is between Sep …

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To apply for the Service, you can send a completed and signed Electronic Statement Dispatch Form [PDF] to us by post or in person to our office address at Level 25, HSBC Main Building, 1 Queen's Road Central, Hong Kong. Attention: "NetTrader/eStatement Customer Service". If this is a first-time application that you register a new designated email address with us, we will mail out an initial

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hsbc broking forex (asia) limited 1994-09-20 live. hsbc markets (asia) limited 1994-05-31 live. hsbc broking securities (asia) limited hsbc brokers (asia) limited 1985-06-04 dissolved. hsbc china services limited 1985-05-28 dissolved. hsbc broking futures (hong kong) limited 1984-08-07 live.

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2018/07/20 · > SFC reprimands and fines HSBC Broking Securities (Asia) Limited $9.6 Million for Regulatory Breaches Over Bond Sale. industryspread. The Industry Spread is a news and information site built for the global trading industry. The site provides industry news focusing on technology, global regulation, company news and the latest people moves .

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The Securities and Futures Commission (SFC) has banned Mr Lam Yuk Wai, a former staff of HSBC Broking Securities (Asia) Limited, HSBC Broking Futures (Asia) Limited, HSBC Broking Futures (Hong Kong) Limited and HSBC Broking Forex (Asia) Limited (collectively, HSBC Broking), from re-entering the industry for life.

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