Personnel SFC Licences and HKMA Registrations (ID 71466)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2021-11-12	-
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2021-11-12	-
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2011-04-18	2021-08-13
	Rep	Dealing in securities	2008-04-28	2021-08-13
IBTS ASIA (HK) LIMITED	Rep	Dealing in securities	2008-04-11	2008-04-15
Yunfeng Financial Markets Limited	RO	Providing automated trading services	2003-09-25	2008-02-23
	RO	Dealing in securities	2003-09-25	2008-02-23
Youyu Credit Limited	RO	Advising on futures contracts	2003-04-01	2003-08-01
	RO	Asset management	2003-04-01	2003-08-01
	RO	Dealing in futures contracts	2003-04-01	2003-08-01
Yunfeng Financial Markets Limited	Rep	Advising on corporate finance	2003-04-01	2003-08-08
	Rep	Advising on securities	2003-04-01	2003-08-08
	Rep	Asset management	2003-04-01	2003-08-08
	Rep	Providing automated trading services	2003-04-01	2003-09-25
	Rep	Dealing in securities	2003-04-01	2003-09-25

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.