Personnel SFC Licences and HKMA Registrations (ID 12659320)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2023-10-26	-
	Rep	Dealing in securities	2023-10-26	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2021-07-20	2023-10-03
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2020-10-08	2023-10-03
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2020-06-05	2020-08-31
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2017-12-22	2020-05-21

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.