Personnel Hong Kong SFC License Details (ID 71428)

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
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2017-02-13	2021-03-07
	RO	Advising on securities	2017-02-13	2021-03-07
	Rep	Asset management	2017-02-13	2021-03-07
	RO	Dealing in futures contracts	2017-02-13	2021-03-07
	RO	Dealing in securities	2017-02-13	2021-03-07
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2016-07-20	2017-02-12
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2016-07-20	2017-02-12
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2016-06-15	2017-02-12
	RO	Advising on securities	2016-06-15	2017-02-12
	RO	Dealing in futures contracts	2016-06-15	2017-02-12
	RO	Dealing in securities	2016-06-15	2017-02-12
	Rep	Advising on futures contracts	2016-01-28	2016-06-15
	Rep	Advising on securities	2016-01-28	2016-06-15
	Rep	Dealing in futures contracts	2016-01-28	2016-06-15
	Rep	Dealing in securities	2016-01-28	2016-06-15
	Rep	Asset management	2016-01-28	2017-02-12
BOCOM International Securities Limited	RO	Dealing in securities	2015-01-12	2015-12-31
	RO	Advising on futures contracts	2008-12-12	2015-12-31
	RO	Dealing in futures contracts	2008-12-12	2015-12-31
BOCOM International Asset Management Limited	Rep	Asset management	2008-10-27	2015-12-31
BOCOM International Securities Limited	Rep	Advising on futures contracts	2008-10-27	2008-12-12
	Rep	Dealing in futures contracts	2008-10-27	2008-12-12
	Rep	Dealing in securities	2008-10-27	2015-01-12
	Rep	Advising on securities	2008-10-27	2015-12-31
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2004-07-20	2008-10-18
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-03-20	2008-10-18
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2003-12-01	2008-10-18
	Rep	Asset management	2003-12-01	2008-10-18
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Advising on futures contracts	2003-12-01	2008-10-18
	RO	Dealing in futures contracts	2003-12-01	2008-10-18
	Rep	Providing automated trading services	-	2003-11-26
	Rep	Advising on futures contracts	-	2003-12-01
	Rep	Dealing in futures contracts	-	2003-12-01
	Rep	Asset management	-	2004-03-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2003-09-29
	Rep	Asset management	-	2003-09-29
	Rep	Providing automated trading services	-	2003-09-29
	Rep	Advising on securities	-	2004-03-20
	Rep	Dealing in securities	-	2008-10-18