Personnel SFC Licences and HKMA Registrations (ID 12096504)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2023-07-12	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-07-12	-
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2019-04-25	2019-05-21
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2019-03-25	2019-05-21
	Rep	Dealing in securities	2019-03-25	2019-05-21
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2018-07-10	2019-02-28
	Rep	Dealing in securities	2018-06-04	2019-02-28
Rich Union Securities (H.K.) Limited	Rep	Dealing in securities	2017-10-04	2018-05-15

HKMA registrations

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

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