Personnel Hong Kong SFC License Details (ID 70832)

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
ALPINE SECURITIES LIMITED	RO	Advising on securities	2018-07-31	2022-08-08
	RO	Dealing in securities	2018-07-31	2022-08-08
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2017-02-13	2018-05-01
	RO	Advising on securities	2017-02-13	2018-05-01
	RO	Dealing in futures contracts	2017-02-13	2018-05-01
	RO	Dealing in securities	2017-02-13	2018-05-01
	RO	Leveraged foreign exchange trading	2017-02-13	2018-05-01
Tung Shing Futures (Brokers) Limited	RO	Dealing in futures contracts	2016-10-27	2017-02-12
Tung Shing Securities (Brokers) Limited	RO	Dealing in securities	2016-10-27	2017-02-12
	RO	Leveraged foreign exchange trading	2016-10-27	2017-02-12
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2015-11-17	2017-02-12
	RO	Advising on securities	2015-11-17	2017-02-12
	RO	Dealing in futures contracts	2015-11-17	2017-02-12
	RO	Dealing in securities	2015-11-17	2017-02-12
	Rep	Advising on futures contracts	2015-09-30	2015-11-17
	Rep	Advising on securities	2015-09-30	2015-11-17
	Rep	Dealing in futures contracts	2015-09-30	2015-11-17
	Rep	Dealing in securities	2015-09-30	2015-11-17
BOCI SECURITIES LIMITED	RO	Leveraged foreign exchange trading	2011-02-25	2012-10-01
	RO	Advising on futures contracts	2005-10-06	2012-10-01
	RO	Dealing in futures contracts	2005-10-06	2012-10-01
BOCI COMMODITIES &AMP; FUTURES LIMITED	RO	Advising on futures contracts	2005-01-18	2012-10-01
BOCI SECURITIES LIMITED	RO	Advising on securities	2004-10-29	2012-10-01
Goldin Equities Limited	RO	Dealing in securities	2003-06-10	2006-01-26
BOCI Bullion Company Limited	RO	Advising on corporate finance	-	2003-06-10
	RO	Advising on securities	-	2003-06-10
	RO	Asset management	-	2003-06-10
	RO	Providing automated trading services	-	2004-05-27
	RO	Dealing in securities	-	2006-12-31
BOCI COMMODITIES &AMP; FUTURES LIMITED	RO	Advising on futures contracts	-	2003-06-10
	RO	Asset management	-	2003-06-10
	RO	Dealing in futures contracts	-	2012-10-01
BOCI SECURITIES LIMITED	RO	Advising on corporate finance	-	2003-06-10
	RO	Advising on securities	-	2003-06-10
	RO	Asset management	-	2003-06-10
	RO	Dealing in securities	-	2012-10-01