Personnel Hong Kong SFC License Details (ID 104740)

Personnel Hong Kong SFC License Details (ID 104740)

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
ABCI Securities Company Limited	RO	Advising on securities	2020-09-25	2024-07-11
	RO	Dealing in securities	2020-09-25	2024-07-11
	Rep	Advising on securities	2013-02-19	2020-09-25
	Rep	Dealing in securities	2012-01-26	2020-09-25
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2009-01-23	2011-08-01
	Rep	Dealing in futures contracts	2007-11-14	2011-08-01
	Rep	Dealing in securities	2007-10-10	2011-08-01
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-10-10	2007-11-20
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2006-09-28	2007-09-27
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2006-09-28	2007-09-27
SBI China Capital Commodities Limited	Rep	Dealing in futures contracts	2005-05-05	2006-01-21
SBI China Capital Securities Limited	Rep	Dealing in securities	2005-05-05	2006-01-21
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2004-03-25	2005-05-05
Tung Shing Securities (Brokers) Limited	Rep	Advising on corporate finance	-	2004-01-09
	Rep	Advising on securities	-	2004-01-09
	Rep	Asset management	-	2004-01-09
	Rep	Dealing in securities	-	2005-05-05