Personnel Hong Kong SFC License Details (ID 35253)

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
Cortina Capital Asset Management Limited	Rep	Advising on securities	2023-03-01	2025-07-25
	Rep	Asset management	2023-03-01	2025-07-25
ASA SECURITIES LIMITED	RO	Advising on securities	2021-10-26	2022-07-12
	RO	Dealing in futures contracts	2021-10-26	2022-07-12
	RO	Dealing in securities	2021-10-26	2022-07-12
Hao Tian Asset Management Limited	Rep	Asset management	2020-05-11	2021-08-17
Hao Tian International Futures Limited	RO	Dealing in futures contracts	2019-09-12	2021-08-17
Hao Tian International Securities Limited	Rep	Dealing in securities	2019-09-12	2021-08-17
WANEXE SECURITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2019-06-05	2019-07-31
	RO	Advising on futures contracts	2019-04-10	2019-07-31
	RO	Dealing in futures contracts	2019-04-10	2019-07-31
WINX INTERNATIONAL FUTURES CO., LIMITED	RO	Dealing in futures contracts	2012-05-22	2016-05-31
CMB International Insurance Consultancy Co., Limited	RO	Dealing in futures contracts	2010-11-01	2011-12-30
CMB International Securities Limited	RO	Dealing in securities	2010-10-06	2011-12-30
CMB International Capital Holdings Corporation Limited	Rep	Dealing in securities	2010-08-03	2011-05-05
CES Capital International (Hong Kong) Co., Limited	Rep	Leveraged foreign exchange trading	2009-11-19	2010-07-17
	RO	Advising on futures contracts	2009-05-29	2010-07-17
	RO	Advising on securities	2009-05-29	2010-07-17
	Rep	Dealing in securities	2009-03-20	2010-07-17
	RO	Dealing in futures contracts	2009-03-04	2010-07-17
	Rep	Dealing in futures contracts	2009-03-03	2009-03-04
JINRUI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2007-07-27	2009-03-01
YUE XIU FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2007-01-08	2007-03-26
	RO	Dealing in futures contracts	2007-01-08	2007-03-26
Asia Pacific Securities Limited	Rep	Advising on securities	2006-08-08	2007-03-26
	Rep	Dealing in securities	2006-08-08	2007-03-26
YUE XIU FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2006-08-08	2007-01-08
	Rep	Dealing in futures contracts	2006-08-08	2007-01-08
GT CAPITAL LIMITED	Rep	Advising on futures contracts	2006-08-01	2006-08-01
	Rep	Advising on securities	2006-08-01	2006-08-01
	Rep	Dealing in futures contracts	2006-08-01	2006-08-01
	Rep	Dealing in securities	2006-08-01	2006-08-01
	RO	Advising on securities	2006-06-22	2006-08-01
	RO	Dealing in securities	2006-06-22	2006-08-01
	RO	Advising on futures contracts	2006-03-03	2006-08-01
	RO	Dealing in futures contracts	2006-03-03	2006-08-01
	Rep	Dealing in securities	2005-09-13	2006-06-22
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-01-25	2005-09-07
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-01-25	2005-09-07
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Advising on futures contracts	-	2003-06-03
	Rep	Asset management	-	2003-06-03
	Rep	Dealing in futures contracts	-	2005-01-17
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	-	2003-06-03
	Rep	Advising on securities	-	2003-06-03
	Rep	Asset management	-	2003-06-03
	Rep	Providing automated trading services	-	2003-06-03
	Rep	Dealing in securities	-	2005-01-17