Personnel SFC Licences and HKMA Registrations (ID 15216454)

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
Huayu Securities Limited	RO	Advising on securities	2024-05-14	-
	RO	Dealing in securities	2024-05-14	-
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2023-08-17	2024-01-31
	RO	Asset management	2023-08-17	2024-01-31
Open Securities Limited	RO	Advising on securities	2023-08-17	2024-01-31
	RO	Dealing in futures contracts	2023-08-17	2024-01-31
	RO	Dealing in securities	2023-08-17	2024-01-31
Huayu Securities Limited	RO	Advising on securities	2021-09-09	2023-03-24
	RO	Dealing in securities	2021-09-09	2023-03-24
	Rep	Advising on securities	2021-06-08	2021-09-09
	Rep	Dealing in securities	2021-06-08	2021-09-09
Leading Securities Company Limited	Rep	Advising on securities	2018-05-17	2021-04-16
	Rep	Asset management	2018-05-17	2021-04-16
	Rep	Dealing in securities	2018-05-17	2021-04-16

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.