Personnel SFC Licences and HKMA Registrations (ID 153584)

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
Blackhorn Wealth Management Limited	Rep	Advising on securities	2025-05-28	-
	Rep	Asset management	2025-05-28	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2014-08-18	2017-09-22
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2014-08-18	2017-09-22
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-04-17	2014-07-26
	Rep	Dealing in securities	2014-04-17	2014-07-26
	Rep	Leveraged foreign exchange trading	2014-04-17	2014-07-26
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2012-05-11	2013-12-20
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-01-19	2013-12-20
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2012-01-19	2013-12-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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