Personnel Hong Kong SFC License Details (ID 1975937)

Personnel Hong Kong SFC License Details (ID 1975937)

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
Emperio Securities and Assets Management Limited	Rep	Advising on securities	2021-08-04	2023-09-01
	Rep	Asset management	2021-08-04	2023-09-01
	Rep	Dealing in securities	2021-08-04	2023-09-01
SBI China Capital Asset Management Limited	Rep	Advising on securities	2019-05-02	2020-07-06
	Rep	Asset management	2019-05-02	2020-07-06
SBI China Capital Financial Services Limited	Rep	Asset management	2019-05-02	2020-07-06
	Rep	Advising on securities	2018-08-20	2020-07-06
	Rep	Dealing in securities	2018-08-20	2020-07-06
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-11-29	2013-06-01
	Rep	Dealing in securities	2012-11-29	2013-06-01
	Rep	Leveraged foreign exchange trading	2012-11-29	2013-06-01
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-11-05	2012-11-06
Guotai Junan FX Limited	Rep	Leveraged foreign exchange trading	2012-11-05	2012-11-06
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2012-11-05	2012-11-06