Personnel SFC Licences and HKMA Registrations (ID 12053088)

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
FIRST SHANGHAI SECURITIES LIMITED	Rep	Dealing in securities	2019-12-19	-
FIRST SHANGHAI FUTURES LIMITED	Rep	Dealing in futures contracts	2019-12-13	2026-06-30
XUANTIE INTERNATIONAL INVESTMENT CO., LIMITED	Rep	Advising on futures contracts	2019-02-18	2019-11-30
	Rep	Dealing in futures contracts	2019-02-18	2019-11-30
TFI Securities and Futures Limited	Rep	Dealing in futures contracts	2018-04-20	2019-01-22
	Rep	Dealing in securities	2017-09-19	2019-01-22

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.