Personnel SFC Licences and HKMA Registrations (ID 12073047)

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
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2021-07-07	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2021-07-07	-
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-05-14	2021-06-20
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2019-05-14	2021-06-20
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-11-05	2019-04-24
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2017-12-18	2019-04-24
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2017-09-26	2017-12-03

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.