Personnel Hong Kong SFC License Details (ID 70995)

Personnel Hong Kong SFC License Details (ID 70995)

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
BOCI SECURITIES LIMITED	RO	Advising on securities	2026-05-11	-
	RO	Dealing in futures contracts	2026-05-11	-
	RO	Dealing in securities	2026-05-11	-
	Rep	Advising on securities	2018-09-06	2026-05-11
	Rep	Leveraged foreign exchange trading	2013-04-17	2014-11-21
	Rep	Dealing in futures contracts	2005-10-13	2026-05-11
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2005-04-08	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2005-04-08	2026-05-11
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2005-02-17	2005-03-23
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2005-02-17	2005-03-23
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-08-02	2005-01-18
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-08-02	2005-01-18
Apricot Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-02-04
	Rep	Advising on securities	2003-04-01	2004-02-04
	Rep	Asset management	2003-04-01	2004-02-04
	Rep	Dealing in securities	2003-04-01	2004-07-27