Personnel Hong Kong SFC License Details (ID 100626)

Personnel Hong Kong SFC License Details (ID 100626)

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
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2007-02-07	2009-02-02
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-02-07	2009-02-02
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2005-11-24	2006-11-01
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2005-11-24	2006-11-01
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2003-08-20	2005-07-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2003-08-20	2005-07-01
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2003-07-28
	Rep	Asset management	-	2003-07-28
	Rep	Dealing in futures contracts	-	2003-08-20
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	-	2003-07-28
	Rep	Advising on securities	-	2003-07-28
	Rep	Asset management	-	2003-07-28
	Rep	Dealing in securities	-	2003-08-20
	Rep	Providing automated trading services	-	2003-09-11