Personnel Hong Kong SFC License Details (ID 101927)

Personnel Hong Kong SFC License Details (ID 101927)

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
REDFORD SECURITIES LIMITED	RO	Dealing in securities	2011-10-18	2011-12-29
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2008-09-30	2009-10-28
CSC FINANCIAL SERVICES LIMITED (d2015-11-19)	RO	Dealing in securities	2008-08-21	2009-10-28
CSC SECURITIES (HK) LIMITED	RO	Dealing in securities	2008-08-21	2009-10-28
	Rep	Dealing in securities	2008-07-25	2008-08-21
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2007-03-13	2008-07-16
	Rep	Dealing in securities	2006-11-24	2007-03-13
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2006-07-04	2006-11-01
	Rep	Asset management	2006-07-04	2006-11-01
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2003-12-16	2006-03-11
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2003-12-16	2006-03-11
FIRST SHANGHAI FUTURES LIMITED	Rep	Dealing in futures contracts	2003-11-18	2003-11-19
FIRST SHANGHAI SECURITIES LIMITED	Rep	Dealing in securities	2003-11-18	2003-11-19