Personnel Hong Kong SFC License Details (ID 50951)

Personnel Hong Kong SFC License Details (ID 50951)

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
Leading Securities Company Limited	RO	Advising on securities	2017-06-13	2019-05-17
	RO	Dealing in securities	2017-06-13	2019-05-17
	Rep	Advising on securities	2017-04-21	2017-06-13
	Rep	Dealing in securities	2017-04-21	2017-06-13
IBTS ASIA (HK) LIMITED	RO	Advising on securities	2015-10-09	2017-03-31
	RO	Dealing in securities	2015-10-09	2017-03-31
CATHAY SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2015-06-08	2015-09-25
	RO	Dealing in securities	2015-06-08	2015-09-25
PREFERRED LEGACY CAPITAL LIMITED	Rep	Dealing in securities	2014-09-18	2015-04-30
CLC SECURITIES LIMITED	RO	Advising on securities	2013-08-29	2014-08-14
	RO	Dealing in securities	2013-04-17	2014-08-14
Kirin Asset Management Limited	RO	Advising on securities	2010-06-11	2013-03-05
Waterland Securities (HK) Company Limited	RO	Advising on securities	2009-02-20	2010-05-03
	RO	Dealing in securities	2009-02-20	2010-05-03
TIS SECURITIES (HK) LIMITED	RO	Dealing in futures contracts	2006-05-16	2006-11-16
	RO	Advising on securities	2005-03-15	2008-10-31
	RO	Dealing in securities	2005-03-15	2008-10-31