Personnel Hong Kong SFC License Details (ID 103785)

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
Anli Securities Limited	RO	Advising on securities	2015-11-09	-
	RO	Dealing in securities	2015-03-06	-
	Rep	Dealing in securities	2015-02-05	2015-03-06
EWARTON SECURITIES LIMITED	Rep	Dealing in securities	2014-12-15	2015-01-30
ARISTO SECURITIES LIMITED	RO	Dealing in securities	2014-08-06	2014-12-04
EWARTON SECURITIES LIMITED	Rep	Dealing in securities	2014-01-16	2014-02-21
Anli Securities Limited	RO	Dealing in securities	2013-04-18	2014-01-15
	Rep	Dealing in securities	2013-03-18	2013-04-18
CHINA TIMES SECURITIES LIMITED	Rep	Dealing in securities	2013-03-01	2013-03-08
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2012-10-12	2013-02-25
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-09-17	2013-02-25
CHG SECURITIES LIMITED	RO	Dealing in securities	2011-11-08	2012-09-14
	Rep	Dealing in securities	2011-09-14	2011-11-08
WINTONE SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-12-14	2011-04-08
	Rep	Dealing in securities	2008-01-03	2011-09-01
ORIENT SECURITIES LIMITED	RO	Advising on securities	2006-07-11	2007-12-12
	RO	Dealing in securities	2006-07-11	2007-12-12
TIMES SECURITIES COMPANY LIMITED	RO	Dealing in securities	2006-03-22	2006-06-24
ORIENT SECURITIES LIMITED	RO	Advising on securities	2005-03-30	2006-03-16
	RO	Dealing in securities	2004-09-10	2006-03-16
	Rep	Dealing in securities	2004-09-09	2004-09-10
KINGSTON SECURITIES LIMITED	Rep	Providing automated trading services	2003-04-01	2003-07-04
	Rep	Advising on corporate finance	2003-04-01	2004-07-27
	Rep	Advising on securities	2003-04-01	2004-07-27
	Rep	Asset management	2003-04-01	2004-07-27
	Rep	Dealing in securities	2003-04-01	2004-07-27