Personnel Hong Kong SFC License Details (ID 124938)

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.

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Current only

Organisation	Role	Activity	From	Until
China Securities (International) Brokerage Company Limited	RO	Advising on futures contracts	2019-12-09	-
	RO	Advising on securities	2019-12-09	-
China Securities (International) Asset Management Company Limited	RO	Asset management	2019-05-21	2026-09-01
China Securities (International) Brokerage Company Limited	RO	Dealing in futures contracts	2019-05-21	-
	RO	Dealing in securities	2019-05-21	-
China Securities (International) Asset Management Company Limited	Rep	Asset management	2019-03-22	2019-05-21
China Securities (International) Brokerage Company Limited	Rep	Dealing in futures contracts	2019-03-22	2019-05-21
	Rep	Dealing in securities	2019-03-22	2019-05-21
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Asset management	2018-07-12	2019-03-04
	RO	Dealing in securities	2018-07-12	2019-03-04
oOo Securities (HK) Group Limited	RO	Asset management	2018-07-12	2019-03-04
orientiert International Markets Limited	RO	Asset management	2018-07-12	2019-03-04
	RO	Dealing in securities	2018-07-12	2019-03-04
oOo Securities (HK) Group Limited	RO	Dealing in futures contracts	2016-03-24	2019-03-04
	RO	Dealing in securities	2015-09-21	2019-03-04
	Rep	Dealing in securities	2015-08-19	2015-09-21
	Rep	Asset management	2015-08-19	2018-07-12
UPBEST INVESTMENT COMPANY LIMITED	RO	Securities margin financing	2014-09-11	2015-07-31
UPBEST COMMODITIES COMPANY LIMITED	RO	Advising on futures contracts	2013-05-28	2015-07-31
	RO	Dealing in futures contracts	2013-05-28	2015-07-31
UPBEST SECURITIES COMPANY LIMITED	RO	Dealing in securities	2013-05-28	2015-07-31
UPBEST COMMODITIES COMPANY LIMITED	Rep	Advising on futures contracts	2013-04-22	2013-05-28
	Rep	Dealing in futures contracts	2013-04-22	2013-05-28
UPBEST SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-04-22	2013-05-28
Future Growth Financial Services Limited	RO	Dealing in futures contracts	2012-06-19	2013-01-16
	RO	Dealing in securities	2012-06-19	2013-01-16
	Rep	Dealing in futures contracts	2011-09-28	2012-06-19
	Rep	Dealing in securities	2011-09-28	2012-06-19
Quam Securities Limited	Rep	Dealing in futures contracts	2008-06-20	2011-07-09
	Rep	Dealing in securities	2008-04-01	2011-07-09