Personnel SFC Licences and HKMA Registrations (ID 70911)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-05-02	-
	Rep	Dealing in futures contracts	2018-05-02	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-05-02	-
	Rep	Dealing in securities	2018-05-02	-
BOA INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2017-12-18	2018-04-24
	RO	Dealing in securities	2017-12-18	2018-04-24
	Rep	Dealing in futures contracts	2017-10-16	2017-12-18
	Rep	Dealing in securities	2017-10-16	2017-12-18
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2012-08-01	2014-11-24
	Rep	Dealing in futures contracts	2006-04-27	2017-10-04
	Rep	Dealing in securities	2006-04-27	2017-10-04
Funderstone Futures Limited	Rep	Dealing in futures contracts	2004-11-11	2006-04-13
Funderstone Securities Limited	Rep	Dealing in securities	2004-11-11	2006-04-13
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-12
	Rep	Asset management	2003-04-01	2003-08-12
	Rep	Providing automated trading services	2003-04-01	2003-08-12
	Rep	Dealing in futures contracts	2003-04-01	2004-09-23
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-12
	Rep	Advising on securities	2003-04-01	2003-08-12
	Rep	Asset management	2003-04-01	2003-08-12
	Rep	Providing automated trading services	2003-04-01	2003-08-12
	Rep	Dealing in securities	2003-04-01	2004-09-23

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA records could not be loaded. Please try again later.