Personnel Hong Kong SFC License Details (ID 2184410)

Personnel Hong Kong SFC License Details (ID 2184410)

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
Delight Hong Kong Asset Management Limited	RO	Advising on securities	2024-09-11	2024-09-30
DaoKou Securities Limited	RO	Dealing in securities	2022-05-26	2023-02-28
DaoKou Asset Management Limited	Rep	Advising on securities	2021-09-29	2023-02-28
	Rep	Asset management	2021-09-29	2023-02-28
DaoKou Securities Limited	Rep	Dealing in securities	2021-04-09	2022-05-26
UCAP Securities (HK) Limited	Rep	Advising on securities	2020-11-05	2021-03-31
	Rep	Asset management	2020-11-05	2021-03-31
	Rep	Dealing in securities	2020-09-30	2021-03-31
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2019-04-15	2020-08-31
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-04-15	2020-08-31
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2018-10-15	2019-03-29
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2018-10-15	2019-03-29
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2014-05-14	2018-09-30
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2013-12-23	2018-09-30