Personnel SFC Licences and HKMA Registrations (ID 1978558)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2023-11-21	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-11-21	-
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2018-05-16	2023-11-05
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2018-05-16	2023-11-05
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2017-10-18	2023-11-05
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2017-07-14	2023-11-05
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2017-07-14	2023-11-05
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2012-11-09	2015-02-05
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2012-11-09	2015-02-05

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.