Personnel Hong Kong SFC License Details (ID 71001)

Personnel Hong Kong SFC License Details (ID 71001)

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	Rep	Advising on securities	2020-12-16	-
	Rep	Leveraged foreign exchange trading	2013-08-02	2014-11-21
	Rep	Dealing in futures contracts	2010-04-09	-
	Rep	Dealing in securities	2010-04-09	-
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-07-05	2010-04-07
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-07-05	2010-04-07
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-02-13	2006-06-30
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-02-13	2006-06-30
CELESTIAL COMMODITIES LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-13
	Rep	Asset management	2003-04-01	2004-02-13
	Rep	Providing automated trading services	2003-04-01	2004-02-13
	Rep	Dealing in futures contracts	2003-04-01	2004-02-13
CELESTIAL FINANCE LIMITED	Rep	Securities margin financing	2003-04-01	2004-02-13
CELESTIAL SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-13
	Rep	Advising on securities	2003-04-01	2004-02-13
	Rep	Asset management	2003-04-01	2004-02-13
	Rep	Providing automated trading services	2003-04-01	2004-02-13
	Rep	Dealing in securities	2003-04-01	2004-02-13