Personnel Hong Kong SFC License Details (ID 2215258)

Personnel Hong Kong SFC License Details (ID 2215258)

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
ROCTEC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2020-12-07	2022-11-30
	Rep	Dealing in securities	2020-12-07	2022-11-30
SUNFUND SECURITIES LIMITED	RO	Advising on securities	2018-11-01	2020-05-31
	RO	Dealing in securities	2018-11-01	2020-05-31
Golden Lake Capital Limited	RO	Advising on securities	2018-07-09	2018-10-09
	RO	Dealing in securities	2018-07-09	2018-10-09
	Rep	Advising on securities	2018-05-04	2018-07-09
	Rep	Dealing in securities	2018-05-04	2018-07-09
VISION FINANCE (SECURITIES) LIMITED	RO	Advising on securities	2016-06-08	2017-11-07
	RO	Dealing in securities	2016-06-08	2017-11-07
	Rep	Advising on securities	2016-03-03	2016-06-08
	Rep	Dealing in securities	2016-03-03	2016-06-08
Ayers Alliance Securities (HK) Limited	Rep	Advising on securities	2014-09-30	2016-01-11
	Rep	Dealing in securities	2014-09-30	2016-01-11
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2014-03-03	2014-07-20
	Rep	Dealing in securities	2014-03-03	2014-07-20