Personnel SFC Licences and HKMA Registrations (ID 70953)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2025-10-20	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2025-10-20	-
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2011-06-08	2014-11-24
	Rep	Dealing in futures contracts	2008-03-03	2025-09-30
	Rep	Dealing in securities	2008-03-03	2025-09-30

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.