Personnel Hong Kong SFC License Details (ID 68555)

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
Futu Securities International (HONG KONG) Limited	RO	Asset management	2022-03-10	-
	RO	Leveraged foreign exchange trading	2020-12-28	-
	RO	Advising on futures contracts	2020-01-24	-
	RO	Advising on securities	2020-01-24	-
	RO	Dealing in futures contracts	2020-01-24	-
	RO	Dealing in securities	2020-01-24	-
	Rep	Dealing in securities	2019-12-13	2020-01-24
HANTEC SECURITIES CO., LIMITED	Rep	Dealing in securities	2019-09-13	2019-11-01
PACIFIC ALPHA SECURITIES LIMITED	RO	Advising on securities	2016-09-19	2017-08-31
	RO	Dealing in securities	2016-09-19	2017-08-31
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2012-07-05	2015-07-23
	RO	Dealing in futures contracts	2012-07-05	2015-07-23
GUOYUAN ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2012-06-25	2015-07-23
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Advising on securities	2012-06-25	2015-07-23
	RO	Dealing in securities	2012-06-25	2015-07-23
ABCI Securities Company Limited	RO	Dealing in securities	2011-03-08	2012-06-11
	Rep	Dealing in securities	2009-06-16	2011-03-08
KVB Kunlun Securities (HK) Limited	Rep	Dealing in securities	2008-09-22	2009-06-14
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in futures contracts	2008-02-12	2008-09-07
	Rep	Dealing in securities	2008-02-12	2008-09-07
KGI ASIA LIMITED	Rep	Dealing in securities	2007-09-18	2008-01-07
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-09-18	2008-01-07
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-09-18	2008-01-07
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2007-07-10	2007-09-02
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2007-07-10	2007-09-02
KGI ASIA LIMITED	Rep	Dealing in securities	2006-05-10	2007-07-01
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-05-10	2007-07-01
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-05-10	2007-07-01
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2005-08-01	2006-04-30
CSC SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2005-08-01	2006-04-30
	Rep	Dealing in securities	2005-08-01	2006-04-30