Personnel Hong Kong SFC License Details (ID 1999710)

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
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2020-05-18	-
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2020-01-20	-
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2020-01-20	-
	Rep	Dealing in securities	2020-01-20	-
Ever Fountain Asset Management Limited	Rep	Advising on securities	2019-11-04	2019-12-17
	Rep	Asset management	2019-11-04	2019-12-17
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2018-02-26	2019-05-03
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-02-26	2019-05-03
Bright Fund Management Limited	Rep	Asset management	2017-09-19	2018-02-01
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2017-09-19	2018-02-01
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2017-08-10	2018-02-01
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2017-08-10	2018-02-01
	Rep	Dealing in securities	2017-08-10	2018-02-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2017-02-28	2017-08-01
	Rep	Dealing in securities	2017-02-28	2017-08-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2017-02-28	2017-08-01
Fosun International Securities Limited	Rep	Dealing in securities	2016-11-25	2016-12-26
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2015-06-09	2016-11-07
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2015-06-09	2016-11-07
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2014-12-11	2015-04-02
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-12-11	2015-04-02
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2014-09-03	2014-12-06
Bright Fund Management Limited	Rep	Asset management	2014-08-08	2014-12-06
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2014-04-28	2014-12-06
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2014-04-28	2014-12-06
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-07-22	2014-03-28
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-22	2014-03-28
ORIENTAL WEALTH FUTURES LIMITED	Rep	Dealing in futures contracts	2012-12-24	2013-07-11
ORIENTAL WEALTH SECURITIES LIMITED	Rep	Dealing in securities	2012-12-24	2013-07-11