Personnel SFC Licences and HKMA Registrations (ID 2536136)

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
UCAP Securities (HK) Limited	Rep	Advising on securities	2024-04-11	-
	Rep	Asset management	2024-04-11	-
	Rep	Dealing in securities	2024-04-11	-
UP WAY SECURITIES LIMITED	RO	Advising on securities	2021-01-18	2023-03-13
	RO	Dealing in securities	2021-01-18	2023-03-13
HOI YICK INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2019-09-04	2020-10-20
	RO	Dealing in securities	2019-09-04	2020-10-20
RESOCORE SECURITIES LIMITED	Rep	Dealing in securities	2017-12-29	2019-09-01
Seazen Resources Futures Limited	Rep	Dealing in futures contracts	2017-12-29	2019-09-01
CLC FUTURES LIMITED	Rep	Dealing in futures contracts	2017-04-18	2017-12-18
CLC SECURITIES LIMITED	Rep	Dealing in securities	2017-04-18	2017-12-18
I-ACCESS INVESTORS LIMITED	Rep	Dealing in futures contracts	2016-02-11	2017-03-31
	Rep	Dealing in securities	2016-02-11	2017-03-31

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.