Personnel Hong Kong SFC License Details (ID 135148)

Personnel Hong Kong SFC License Details (ID 135148)

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
Ebang Digital Asset Management Limited	RO	Advising on securities	2023-05-31	-
	RO	Asset management	2023-05-31	-
China Harbour International Asset Management Limited	RO	Advising on securities	2021-07-22	2023-04-30
	RO	Asset management	2021-07-22	2023-04-30
	Rep	Advising on securities	2021-03-22	2021-07-22
	Rep	Asset management	2021-03-22	2021-07-22
Arta Global Futures Limited	Rep	Dealing in futures contracts	2019-05-22	2021-03-03
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2019-05-22	2021-03-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2017-08-15	2019-05-07
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2017-08-15	2019-05-07
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-09-01	2017-07-26
	Rep	Dealing in securities	2015-09-01	2017-07-26
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-05-28	2015-08-24
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-05-28	2015-08-24
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2011-12-20	2012-04-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-12-20	2012-04-06