Personnel Hong Kong SFC License Details (ID 2646032)

Personnel Hong Kong SFC License Details (ID 2646032)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2025-12-29	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2024-07-10	2025-11-21
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Advising on securities	2024-07-10	2025-11-21
	Rep	Dealing in securities	2024-07-10	2025-11-21
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2020-11-04	2024-06-11
	Rep	Dealing in futures contracts	2020-11-04	2024-06-11
	Rep	Dealing in securities	2020-11-04	2024-06-11
King Sun Securities Limited	Rep	Advising on securities	2019-06-24	2020-10-20
	Rep	Asset management	2019-06-24	2020-10-20
	Rep	Dealing in securities	2019-06-24	2020-10-20
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Asset management	2018-10-15	2019-06-07
	Rep	Dealing in futures contracts	2018-10-15	2019-06-07
	Rep	Advising on securities	2017-12-15	2019-06-07
	Rep	Dealing in securities	2017-12-15	2019-06-07
Fosun International Securities Limited	Rep	Advising on securities	2017-05-15	2017-11-19
	Rep	Dealing in securities	2017-05-15	2017-11-19
KAISER FUTURES LIMITED	Rep	Dealing in futures contracts	2016-10-20	2017-04-19
KAISER SECURITIES LIMITED	Rep	Dealing in securities	2016-10-20	2017-04-19