Personnel Hong Kong SFC License Details (ID 58040)

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
Sinoprosper Securities Limited	RO	Advising on securities	2026-06-23	-
	RO	Asset management	2026-06-23	-
	RO	Dealing in securities	2026-06-23	-
SBI China Capital Financial Services Limited	RO	Advising on securities	2021-11-08	2025-03-31
SBI China Capital Asset Management Limited	RO	Asset management	2021-04-22	2022-03-23
SBI China Capital Financial Services Limited	RO	Asset management	2008-09-19	2025-03-31
	RO	Dealing in securities	2008-04-23	2025-03-31
SBI China Capital Securities Limited	RO	Asset management	2008-04-23	2011-09-30
	RO	Dealing in securities	2008-04-23	2011-09-30
SBI China Capital Commodities Limited	Rep	Dealing in futures contracts	2007-11-30	2013-02-28
SBI China Capital Financial Services Limited	Rep	Dealing in securities	2007-11-30	2008-04-23
SBI China Capital Securities Limited	Rep	Dealing in securities	2007-11-30	2008-04-23
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2007-10-12	2007-11-12
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2007-10-12	2007-11-12
XINHUA INVESTMENT GROUP HONG KONG LIMITED	RO	Advising on securities	2007-03-20	2007-09-30
SBI China Capital Securities Limited	RO	Asset management	2007-02-07	2007-10-02
	RO	Dealing in securities	2006-06-29	2007-10-02
SBI China Capital Financial Services Limited	RO	Dealing in securities	2006-04-28	2007-10-02
	Rep	Dealing in securities	2005-10-06	2006-04-28
SBI China Capital Commodities Limited	Rep	Dealing in futures contracts	2005-09-01	2007-10-02
SBI China Capital Securities Limited	Rep	Dealing in securities	2005-09-01	2006-06-29
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-06-10	2005-08-24
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2003-06-06	2005-08-24
CITIC Securities Brokerage (HK) Limited	RO	Providing automated trading services	2003-04-01	2004-03-11
	RO	Dealing in securities	2003-04-01	2004-06-10