Personnel Hong Kong SFC License Details (ID 49710)

Personnel Hong Kong SFC License Details (ID 49710)

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
CHELSEA SECURITIES LIMITED	RO	Advising on corporate finance	2022-07-06	-
	RO	Advising on securities	2021-12-10	-
	RO	Asset management	2021-12-10	-
	RO	Dealing in securities	2021-12-10	-
KuCoin Asset Management Limited	RO	Asset management	2017-06-30	2020-03-15
KuCoin Commodity Futures Limited	RO	Dealing in futures contracts	2017-06-30	2020-03-15
KuCoin HK Limited	RO	Advising on securities	2017-06-30	2020-03-15
	RO	Dealing in securities	2017-06-30	2020-03-15
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2014-11-07	2017-04-09
	RO	Dealing in securities	2014-03-03	2017-04-09
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2014-03-03	2017-04-09
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	Asset management	2012-06-29	2017-04-09
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2012-01-10	2014-03-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2011-12-19	2012-06-29
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2011-11-02	2014-03-03