Personnel Hong Kong SFC License Details (ID 113012)

Personnel Hong Kong SFC License Details (ID 113012)

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
StoneX Financial (HK) Limited	Rep	Dealing in futures contracts	2026-01-08	-
R.J. O'BRIEN &AMP; ASSOCIATES HK LIMITED	RO	Dealing in futures contracts	2016-05-17	2025-12-31
	Rep	Dealing in futures contracts	2011-03-10	2016-05-17
CES Capital International (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2010-11-09	2011-02-14
	Rep	Dealing in securities	2010-11-09	2011-02-14
	Rep	Leveraged foreign exchange trading	2010-11-09	2011-02-14
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2003-09-18	2003-12-22