Personnel Hong Kong SFC License Details (ID 132980)

Personnel Hong Kong SFC License Details (ID 132980)

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.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2025-10-02	2026-07-02
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2021-04-30	2025-09-11
	Rep	Advising on securities	2021-04-30	2026-07-02
	Rep	Asset management	2021-04-30	2026-07-02
JAKOTA ASSET MANAGEMENT LIMITED	Rep	Asset management	2018-01-15	2018-04-30
JAKOTA SECURITIES GROUP LIMITED	Rep	Advising on securities	2018-01-15	2018-04-30
	Rep	Dealing in securities	2018-01-15	2018-04-30
GRANDLY FINANCIAL SERVICES LIMITED	Rep	Dealing in securities	2015-08-21	2017-07-31
SMART GRANDLY ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2015-08-21	2017-07-31
	Rep	Asset management	2015-08-21	2017-07-31
GRANDLY FINANCIAL SERVICES LIMITED	Rep	Dealing in futures contracts	2015-04-21	2017-07-31
Caitong International Asset Management Co., Limited	Rep	Advising on securities	2014-03-28	2015-01-16
	Rep	Asset management	2014-03-28	2015-01-16
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2014-03-28	2015-01-16
FUBON SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-10	2014-03-15
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2012-02-28	2013-04-11
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2011-10-24	2013-04-11
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2011-10-24	2013-04-11