Personnel SFC Licences and HKMA Registrations (ID 111875)

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
Eddid Securities and Futures Limited	Rep	Dealing in futures contracts	2020-01-13	-
	Rep	Dealing in securities	2019-09-05	-
CHARLES SCHWAB, HONG KONG, LIMITED	Rep	Advising on futures contracts	2011-09-28	2016-08-24
	Rep	Advising on securities	2011-09-28	2017-07-23
	Rep	Dealing in securities	2011-09-28	2017-07-23
Interactive Brokers LLC	Rep	Dealing in futures contracts	2008-02-22	2009-08-31
	Rep	Dealing in securities	2008-02-22	2009-08-31
	Rep	Leveraged foreign exchange trading	2008-02-22	2009-08-31
Rakuten Securities Hong Kong Limited	Rep	Leveraged foreign exchange trading	2003-11-14	2006-12-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-04-10
	Rep	Asset management	2003-04-01	2003-04-10
	Rep	Dealing in futures contracts	2003-04-01	2003-04-10

HKMA registrations

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

HKMA records could not be loaded. Please try again later.