Personnel SFC Licences and HKMA Registrations (ID 71608)

Key Data Licences & registrations 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
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2025-12-02	-
CMB International Securities Limited	Rep	Advising on securities	2025-12-02	-
	Rep	Dealing in securities	2025-12-02	-
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2020-04-23	2025-10-16
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Advising on securities	2020-03-23	2025-10-16
	Rep	Dealing in securities	2020-03-23	2025-10-16
CENTALINE WEALTH MANAGEMENT LIMITED	Rep	Asset management	2019-11-19	2020-02-28
CENTALINE SECURITIES LIMITED	Rep	Dealing in securities	2019-09-11	2020-02-28
CENTALINE WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2019-09-11	2020-02-28
	Rep	Dealing in securities	2019-09-11	2020-02-28
KGI ASIA LIMITED	Rep	Advising on securities	2018-08-22	2019-06-27
	Rep	Dealing in securities	2017-10-03	2019-06-27
	Rep	Dealing in securities	2017-02-02	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-02-02	2019-06-27
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2009-07-20	2017-01-23
	Rep	Dealing in securities	2009-07-20	2017-01-23
Nerico Brothers Limited (HK)	Rep	Dealing in futures contracts	2009-05-11	2009-07-08
	Rep	Dealing in securities	2009-05-11	2009-07-08
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2007-10-18	2009-05-05
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-10-18	2009-05-05
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2007-03-16	2007-10-15
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2007-03-16	2007-10-15
Quam Securities Limited	Rep	Dealing in futures contracts	2004-11-16	2007-02-28
	Rep	Dealing in securities	2004-11-16	2007-02-28
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2004-10-20	2004-10-29
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-08-24	2004-10-29
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-08-24	2004-10-29
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-20	2004-08-06
FT Securities Limited	Rep	Dealing in securities	2003-09-24	2004-08-06
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-22
	Rep	Advising on securities	2003-04-01	2003-09-22
	Rep	Asset management	2003-04-01	2003-09-22
	Rep	Dealing in securities	2003-04-01	2003-09-24

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.