Personnel SFC Licences and HKMA Registrations (ID 35255)

Key Data Licences & registrations 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
CA Premium International (HK) Limited	RO	Leveraged foreign exchange trading	2019-09-23	2023-05-31
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2018-12-27	-
	RO	Dealing in securities	2012-05-03	-
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2012-05-03	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2012-03-27	2012-05-03
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2012-03-27	2012-05-03
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Asset management	2011-06-09	2012-03-21
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	RO	Asset management	2011-06-09	2012-03-21
	RO	Dealing in securities	2011-06-09	2012-03-21
ICBC INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2011-06-09	2012-03-21
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2011-06-09	2012-03-21
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2011-05-16	2011-06-09
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	Rep	Asset management	2011-05-16	2011-06-09
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2011-05-16	2011-06-09
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2011-05-16	2011-06-09
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Asset management	2009-10-13	2011-05-03
	Rep	Asset management	2008-03-20	2009-10-13
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	RO	Dealing in futures contracts	2008-01-08	2011-05-03
	Rep	Leveraged foreign exchange trading	2007-11-01	2011-05-03
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Dealing in securities	2007-07-05	2011-05-03
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2007-06-05	2008-01-08
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2007-01-15	2007-07-05
GT CAPITAL LIMITED	Rep	Dealing in securities	2006-11-27	2006-12-15
Asia Pacific Securities Limited	Rep	Advising on securities	2006-09-01	2006-10-26
	Rep	Dealing in securities	2006-09-01	2006-10-26
YUE XIU FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2006-09-01	2006-10-26
	Rep	Dealing in futures contracts	2006-09-01	2006-10-26
GT CAPITAL LIMITED	RO	Advising on securities	2006-07-24	2006-08-31
	RO	Dealing in securities	2006-07-24	2006-08-31
	RO	Advising on futures contracts	2006-03-03	2006-08-31
	RO	Dealing in futures contracts	2006-03-03	2006-08-31
	RO	Asset management	2005-09-29	2006-08-31

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.