Personnel Hong Kong SFC License Details (ID 70894)

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
Funde Investment Management Limited	RO	Asset management	2026-07-17	-
Funde Securities Limited	RO	Advising on securities	2026-07-17	-
	RO	Dealing in securities	2026-07-17	-
WE Asset Management Limited	RO	Advising on securities	2025-08-14	2026-06-01
	RO	Asset management	2025-08-14	2026-06-01
WE Securities Limited	RO	Dealing in securities	2025-08-14	2026-06-01
Global Prosperity Financial Company Limited	RO	Advising on securities	2021-04-26	2025-07-09
	RO	Asset management	2021-04-26	2025-07-09
	RO	Dealing in securities	2021-04-26	2025-07-09
	Rep	Advising on securities	2021-04-01	2021-04-26
	Rep	Asset management	2021-04-01	2021-04-26
	Rep	Dealing in securities	2021-04-01	2021-04-26
CHINA ZHONG HENG FINANCE GROUP LIMITED	RO	Asset management	2020-07-24	2021-03-29
	RO	Advising on securities	2020-06-30	2021-03-29
	RO	Dealing in securities	2020-06-30	2021-03-29
	Rep	Asset management	2020-04-28	2020-07-24
	Rep	Advising on securities	2020-03-19	2020-06-30
	Rep	Dealing in securities	2020-03-19	2020-06-30
CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED	RO	Dealing in futures contracts	2018-11-14	2019-11-09
CHINA ZHONG HENG FINANCE GROUP LIMITED	Rep	Advising on securities	2018-10-22	2019-11-09
	Rep	Dealing in securities	2018-10-22	2019-11-09
CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED	Rep	Dealing in futures contracts	2018-10-10	2018-11-14
Haitong Futures Hong Kong Limited	Rep	Dealing in futures contracts	2017-05-11	2018-10-02
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2013-04-18	2017-04-30
	Rep	Dealing in futures contracts	2013-03-01	2017-04-30
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2013-03-01	2017-04-30
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-09-01	2013-02-21
	Rep	Dealing in securities	2011-09-01	2013-02-21
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2011-07-18	2011-08-20
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2010-04-22	2011-08-20
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-04-22	2011-08-20