Personnel Hong Kong SFC License Details (ID 70920)

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
IMO Asset Management Limited	RO	Advising on securities	2023-11-14	-
	RO	Asset management	2023-11-14	-
	Rep	Advising on securities	2023-09-14	2023-11-14
	Rep	Asset management	2023-09-14	2023-11-14
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2016-07-05	2016-12-12
	Rep	Dealing in futures contracts	2016-07-05	2016-12-12
	Rep	Dealing in securities	2016-07-05	2016-12-12
BOCI SECURITIES LIMITED	Rep	Advising on securities	2011-08-29	2014-02-05
	Rep	Dealing in futures contracts	2011-08-29	2014-02-05
	Rep	Dealing in securities	2011-08-29	2014-02-05
	Rep	Leveraged foreign exchange trading	2011-08-29	2014-02-05
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-04	2011-07-07
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-02-29	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-02-29	2011-07-07
	Rep	Dealing in securities	2008-02-29	2011-07-07
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2007-03-05	2008-02-18
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2007-02-12	2008-02-18
	Rep	Leveraged foreign exchange trading	2007-02-12	2008-02-18
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-01-23	2007-01-31
	Rep	Leveraged foreign exchange trading	2007-01-23	2007-01-31
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2006-12-15	2007-01-01
EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2006-12-15	2007-01-01