Personnel Hong Kong SFC License Details (ID 10059593)

Personnel Hong Kong SFC License Details (ID 10059593)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

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

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2024-11-27	-
	Rep	Dealing in futures contracts	2024-10-29	-
	Rep	Dealing in securities	2024-10-29	-
GRANDLY FINANCIAL SERVICES LIMITED	Rep	Dealing in futures contracts	2022-08-31	2024-07-26
	Rep	Dealing in securities	2022-08-31	2024-07-26
Arta Global Futures Limited	Rep	Dealing in futures contracts	2019-09-24	2022-08-26
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2019-09-24	2022-08-26
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2018-07-24	2019-09-06
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-07-24	2019-09-06
Arta Global Futures Limited	Rep	Dealing in futures contracts	2018-05-04	2018-07-12
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2018-05-04	2018-07-12
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2017-05-11	2018-04-20
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2017-05-11	2018-04-20