Personnel SFC Licences and HKMA Registrations (ID 136213)

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
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	Advising on futures contracts	2021-06-16	-
	RO	Advising on securities	2021-06-16	-
	RO	Dealing in futures contracts	2021-06-16	-
	RO	Dealing in securities	2021-06-16	-
	RO	Asset management	2021-03-31	-
	Rep	Advising on futures contracts	2017-01-18	2021-06-16
	Rep	Advising on securities	2017-01-18	2021-06-16
	Rep	Asset management	2016-05-16	2021-03-31
	Rep	Dealing in futures contracts	2016-05-16	2021-06-16
	Rep	Dealing in securities	2016-05-16	2021-06-16
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2014-01-14	2016-05-13
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2014-01-14	2016-05-13
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2012-06-14	2013-12-27
	Rep	Dealing in securities	2012-06-14	2013-12-27
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2012-02-28	2013-12-27
	Rep	Dealing in securities	2012-01-12	2013-12-27

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.