Personnel Hong Kong SFC License Details (ID 113906)

Personnel Hong Kong SFC License Details (ID 113906)

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
Success Futures and Foreign Exchange Limited	Rep	Leveraged foreign exchange trading	2009-01-23	2009-07-20
	Rep	Dealing in futures contracts	2008-12-23	2009-07-20
Success Securities Limited	Rep	Dealing in securities	2008-12-23	2009-07-20
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2008-07-11	2008-09-05
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2008-07-11	2008-09-05
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-11-02	2008-07-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2006-08-14	2008-07-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2006-08-14	2008-07-01
CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED	Rep	Leveraged foreign exchange trading	2005-05-18	2005-12-21
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2005-02-03	2005-12-21
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2005-02-03	2005-12-21
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2004-07-28	2005-01-07
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2004-05-24	2005-01-07