Personnel Hong Kong SFC License Details (ID 38555)

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
ASA SECURITIES LIMITED	RO	Advising on securities	2022-03-07	2026-01-02
	RO	Dealing in futures contracts	2022-03-07	2026-01-02
	RO	Dealing in securities	2022-03-07	2026-01-02
HF Securities and Futures Limited	RO	Dealing in futures contracts	2020-11-02	2020-12-31
	RO	Dealing in securities	2020-11-02	2020-12-31
Sprout Asset Management (Asia) Limited	RO	Advising on securities	2019-09-09	2020-08-31
	RO	Dealing in securities	2019-09-09	2020-08-31
	Rep	Advising on securities	2019-08-12	2019-09-09
	Rep	Dealing in securities	2019-08-12	2019-09-09
HUAJIN RESEARCH (INTERNATIONAL) LIMITED	RO	Advising on securities	2016-04-27	2019-04-08
HUAJIN FUTURES (INTERNATIONAL) LIMITED	RO	Dealing in futures contracts	2015-08-17	2019-04-08
HUAJIN SECURITIES (INTERNATIONAL) LIMITED	RO	Dealing in securities	2015-08-17	2019-04-08
313 CAPITAL MANAGEMENT LIMITED 313	RO	Asset management	2014-04-17	2014-05-31
	Rep	Asset management	2012-05-24	2014-04-17
SOUTH CHINA COMMODITIES LIMITED	RO	Dealing in futures contracts	2011-10-12	2014-05-31
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2011-10-12	2014-05-31
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2011-07-15	2011-10-12
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2011-07-15	2011-10-12
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2008-09-26	2011-07-05
	RO	Dealing in securities	2008-06-02	2011-07-05
RHB FUTURES HONG KONG LIMITED	RO	Dealing in futures contracts	2007-04-24	2011-07-05
	Rep	Dealing in futures contracts	2007-04-11	2007-04-24
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-04-11	2008-06-02
ENLIGHTEN FUTURES LIMITED	RO	Dealing in futures contracts	2006-05-15	2007-03-15
	Rep	Dealing in futures contracts	2006-03-21	2006-05-15
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2006-03-21	2007-03-15
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Dealing in futures contracts	2005-07-19	2006-03-01
	Rep	Dealing in securities	2005-07-19	2006-03-01
SUNWAH KINGSWAY FUTURES LIMITED	RO	Dealing in futures contracts	2005-07-19	2005-11-30
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2005-05-10	2005-07-19
SUNWAH KINGSWAY FUTURES LIMITED	Rep	Dealing in futures contracts	2005-05-10	2005-07-19
FUJI HONG KONG COMMODITIES COMPANY LIMITED	RO	Dealing in futures contracts	2004-06-05	2005-05-06
	Rep	Dealing in futures contracts	2004-06-02	2004-06-05
Yuanta Asia Investment (Hong Kong) Limited	RO	Advising on futures contracts	2003-08-13	2004-06-02
	RO	Dealing in futures contracts	2003-08-13	2004-06-02
Polaris Capital (Asia) Limited	Rep	Dealing in securities	2003-05-14	2004-06-02