Personnel Hong Kong SFC License Details (ID 68552)

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
Lakala International Asset Management Limited	RO	Advising on securities	2026-01-08	-
	RO	Asset management	2026-01-08	-
	RO	Dealing in securities	2026-01-08	-
Grand Capital Futures Limited	RO	Advising on futures contracts	2019-10-10	2024-12-17
	RO	Dealing in futures contracts	2019-10-10	2024-12-17
Grand Capital Securities Limited	RO	Advising on securities	2019-10-10	2024-12-19
	RO	Dealing in securities	2019-10-10	2024-12-19
YUE XIU FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2017-11-30	2019-01-11
YUE XIU SECURITIES COMPANY LIMITED	RO	Dealing in futures contracts	2017-11-30	2019-01-11
	RO	Advising on securities	2015-08-13	2019-01-11
	RO	Dealing in securities	2015-08-13	2019-01-11
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2015-04-17	2017-11-30
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2014-03-12	2015-08-13
ABCI Securities Company Limited	Rep	Dealing in securities	2013-04-03	2014-02-12
	RO	Dealing in securities	2009-09-07	2013-04-03
	Rep	Dealing in securities	2006-04-26	2009-09-07
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2004-10-29	2006-04-18
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2004-10-29	2006-04-18
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2004-06-01	2004-08-09
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-03-25	2004-08-09
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2003-09-29	2004-03-23
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-06
	Rep	Advising on securities	2003-04-01	2003-06-06
	Rep	Asset management	2003-04-01	2003-06-06
	Rep	Dealing in securities	2003-04-01	2003-06-06
KGI SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-06
	Rep	Advising on securities	2003-04-01	2003-06-06
	Rep	Asset management	2003-04-01	2003-06-06
	Rep	Providing automated trading services	2003-04-01	2003-06-06
	Rep	Dealing in securities	2003-04-01	2003-06-06