Personnel Hong Kong SFC License Details (ID 115203)

Personnel Hong Kong SFC License Details (ID 115203)

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
NEW REGION SECURITIES COMPANY LIMITED	RO	Advising on securities	2021-05-31	-
	RO	Asset management	2021-05-31	-
	Rep	Dealing in securities	2020-11-02	-
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Dealing in securities	2020-09-24	2020-10-30
	Rep	Advising on securities	2020-09-03	2020-10-30
	Rep	Asset management	2020-09-03	2020-10-30
Xen Capital (HK) Limited	RO	Advising on securities	2019-12-17	2020-09-02
	RO	Asset management	2019-12-17	2020-09-02
	Rep	Advising on securities	2019-07-16	2019-12-17
	Rep	Asset management	2019-07-16	2019-12-17
HONG KONG FOREX INVESTMENT LIMITED	Rep	Leveraged foreign exchange trading	2005-01-18	2005-10-18
TSE'S SECURITIES LIMITED	Rep	Dealing in securities	2005-01-18	2005-10-18