Personnel Hong Kong SFC License Details (ID 103417)

Personnel Hong Kong SFC License Details (ID 103417)

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
FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Asset management	2022-10-14	-
FOUNDER SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2022-10-14	-
FOUNDER FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2019-05-30	2021-12-13
FOUNDER SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2019-05-30	-
FOUNDER FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-04-03	2019-05-30
FOUNDER SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2019-04-03	2019-05-30
Soochow Securities International Brokerage Limited	RO	Dealing in securities	2014-07-02	2019-03-03
Soochow Securities International Futures Limited	RO	Dealing in futures contracts	2014-07-02	2019-03-03
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2014-04-17	2014-07-02
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2014-04-17	2014-07-02
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-06-25	2014-04-04
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Dealing in securities	2012-06-25	2014-04-04
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-11-14	2012-06-19
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-11-14	2012-06-19
Funderstone Securities Limited	Rep	Dealing in securities	2006-09-22	2011-08-12
Funderstone Futures Limited	Rep	Advising on futures contracts	2003-04-01	2005-01-24
	Rep	Asset management	2003-04-01	2005-01-24
	Rep	Dealing in futures contracts	2003-04-01	2011-08-12