Personnel SFC Licences and HKMA Registrations (ID 64690)

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
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2023-09-20	-
	Rep	Dealing in futures contracts	2023-09-20	-
	Rep	Dealing in securities	2023-09-20	-
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in securities	2022-08-02	2023-09-08
TFI Securities and Futures Limited	RO	Dealing in securities	2019-08-27	2022-07-12
	Rep	Dealing in securities	2019-05-06	2019-08-27
TFI Asset Management Limited	Rep	Advising on securities	2018-11-16	2022-07-12
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2015-05-19	2018-08-31
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2014-06-04	2015-05-08
	Rep	Dealing in securities	2014-06-04	2015-05-08
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2014-01-09	2014-05-30
	Rep	Dealing in securities	2014-01-09	2014-05-30
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2011-12-23	2013-12-28
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2011-12-23	2013-12-28
CHEONG LEE SECURITIES LIMITED	Rep	Advising on futures contracts	2010-10-15	2011-12-14
	Rep	Dealing in futures contracts	2009-11-13	2011-12-14
	Rep	Advising on securities	2008-09-23	2011-12-14
	Rep	Dealing in securities	2008-08-25	2011-12-14
RICHE BRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2008-07-07	2008-08-01

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.