Personnel Hong Kong SFC License Details (ID 67870)

Personnel Hong Kong SFC License Details (ID 67870)

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
KARL THOMSON INVESTMENT CONSULTANTS LIMITED	Rep	Advising on securities	2020-03-20	2025-01-13
KARL-THOMSON SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-03-20	2025-01-13
YUEXING SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2012-11-12	2016-10-16
Yunfeng Financial Markets Limited	RO	Asset management	2009-04-09	2012-05-31
	RO	Advising on corporate finance	2008-12-29	2012-05-31
	RO	Advising on securities	2008-12-29	2012-05-31
	RO	Providing automated trading services	2008-12-29	2012-05-31
	RO	Dealing in securities	2008-12-29	2012-05-31
	Rep	Advising on corporate finance	2008-06-26	2008-12-29
	Rep	Advising on securities	2008-06-26	2008-12-29
	Rep	Dealing in securities	2008-06-26	2008-12-29
	Rep	Asset management	2008-06-26	2009-04-09