Personnel Hong Kong SFC License Details (ID 20837336)

Personnel Hong Kong SFC License Details (ID 20837336)

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
uSmart Securities Limited	Rep	Dealing in futures contracts	2026-04-16	-
	Rep	Dealing in securities	2024-10-23	-
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2024-06-06	2024-08-26
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2024-06-06	2024-08-26
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-09-20	2024-05-25
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2021-09-20	2024-05-25
	Rep	Dealing in securities	2021-09-20	2024-05-25
Zinvest Global Limited	Rep	Advising on securities	2020-07-20	2021-07-31
	Rep	Dealing in futures contracts	2020-07-20	2021-07-31
	Rep	Dealing in securities	2020-07-20	2021-07-31
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2019-09-02	2020-06-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2019-09-02	2020-06-10
	Rep	Advising on securities	2019-08-07	2020-06-10
Gold Mountains Asset Management Limited	Rep	Advising on securities	2018-07-25	2019-07-22
	Rep	Asset management	2018-07-25	2019-07-22