Personnel Hong Kong SFC License Details (ID 11776354)

Personnel Hong Kong SFC License Details (ID 11776354)

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
Lion Global Financial Limited	Rep	Advising on securities	2024-10-25	2024-12-30
	Rep	Asset management	2024-10-25	2024-12-30
	Rep	Dealing in securities	2024-10-25	2024-12-30
NEW REGION SECURITIES COMPANY LIMITED	Rep	Asset management	2022-06-13	2022-10-31
	Rep	Advising on securities	2022-05-23	2022-10-31
	Rep	Dealing in securities	2022-05-23	2022-10-31
PC SECURITIES LIMITED	Rep	Advising on securities	2018-11-21	2022-04-28
	Rep	Dealing in securities	2018-11-21	2022-04-28
ADS Securities Hong Kong Limited	Rep	Advising on securities	2017-10-11	2018-07-20
	Rep	Dealing in futures contracts	2017-07-13	2018-07-20
	Rep	Dealing in securities	2017-07-13	2018-07-20
	Rep	Leveraged foreign exchange trading	2017-07-13	2018-07-20