Personnel Hong Kong SFC License Details (ID 100961)

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
Lumineux Securities Limited	RO	Advising on securities	2020-02-27	2020-07-05
	RO	Dealing in securities	2020-02-27	2020-07-05
Lumineux Asset Management Limited	RO	Asset management	2020-01-15	2020-07-05
Leeds Securities Investment Limited	RO	Dealing in securities	2018-09-20	2019-06-28
Leeds Fund International Limited	RO	Advising on securities	2017-09-25	2019-05-24
	RO	Asset management	2017-09-25	2019-05-24
SUPREME CHINA SECURITIES LIMITED	RO	Dealing in securities	2014-10-10	2016-06-30
LUK FOOK FUTURES (HK) LIMITED	RO	Dealing in futures contracts	2012-11-06	2014-07-02
LUK FOOK SECURITIES (HK) LIMITED	RO	Dealing in securities	2012-11-06	2014-07-02
LUK FOOK FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-10-04	2012-11-06
LUK FOOK SECURITIES (HK) LIMITED	Rep	Dealing in securities	2012-10-04	2012-11-06
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2011-09-20	2012-09-15
CMBC SECURITIES COMPANY LIMITED	RO	Dealing in securities	2011-09-20	2012-09-15
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-09-01	2011-09-20
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2011-09-01	2011-09-20
ORIENTAL WEALTH FUTURES LIMITED	RO	Dealing in futures contracts	2011-01-06	2011-08-28
	RO	Dealing in futures contracts	2009-06-18	2010-02-12
ORIENTAL WEALTH SECURITIES LIMITED	RO	Dealing in securities	2008-09-05	2011-08-28
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2007-02-16	2008-08-29
CVP Securities Limited	RO	Dealing in securities	2004-08-30	2005-05-15
	Rep	Dealing in securities	2004-08-11	2004-08-30
Beijing Securities Limited	Rep	Dealing in securities	2003-09-11	2004-06-23
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on corporate finance	-	2003-09-10
	Rep	Advising on securities	-	2003-09-10
	Rep	Asset management	-	2003-09-10
	Rep	Dealing in securities	-	2003-09-10