Personnel SFC Licences and HKMA Registrations (ID 104755)

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
I WIN SECURITIES LIMITED	Rep	Dealing in securities	2023-01-06	-
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2018-05-08	2022-12-31
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2018-05-08	2022-12-31
Rifa Futures Limited	Rep	Dealing in futures contracts	2017-05-02	2018-03-05
Rifa Securities Limited	Rep	Dealing in securities	2017-05-02	2018-03-05
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2017-02-14	2017-04-11
	Rep	Dealing in securities	2017-02-14	2017-04-11
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2007-07-12	2007-12-22
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-01-26	2007-03-08
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-07-06	2007-03-08
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-06-01	2007-03-08
SG SECURITIES (HK) LIMITED	Rep	Advising on securities	2003-04-01	2003-12-16
	Rep	Asset management	2003-04-01	2003-12-16
	Rep	Advising on corporate finance	2003-04-01	2004-09-01
	Rep	Providing automated trading services	2003-04-01	2004-09-01
	Rep	Dealing in securities	2003-04-01	2005-05-18

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.