Personnel SFC Licences and HKMA Registrations (ID 11829)

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
UPBEST COMMODITIES COMPANY LIMITED	RO	Advising on futures contracts	2019-12-23	-
	RO	Dealing in futures contracts	2019-12-23	-
UPBEST INVESTMENT COMPANY LIMITED	RO	Securities margin financing	2018-06-29	-
UPBEST SECURITIES COMPANY LIMITED	RO	Advising on securities	2018-06-29	-
	RO	Dealing in securities	2018-06-29	-
UPBEST COMMODITIES COMPANY LIMITED	Rep	Asset management	2003-04-01	2004-03-16
	Rep	Advising on futures contracts	2003-04-01	2019-12-23
	Rep	Dealing in futures contracts	2003-04-01	2019-12-23
UPBEST SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	-
	Rep	Asset management	2003-04-01	-
	Rep	Advising on securities	2003-04-01	2018-06-29
	Rep	Dealing in securities	2003-04-01	2018-06-29

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.