Personnel Hong Kong SFC License Details (ID 71715)

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.

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Current only

Organisation	Role	Activity	From	Until
GAOYU SECURITIES LIMITED	Rep	Asset management	2024-10-18	2025-03-13
	Rep	Dealing in securities	2024-10-18	2025-03-13
KGI ASIA LIMITED	Rep	Dealing in securities	2024-04-12	2024-08-12
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2024-04-12	2024-08-12
VALUABLE CAPITAL LIMITED	Rep	Dealing in futures contracts	2022-01-20	2022-11-15
	Rep	Dealing in securities	2022-01-20	2022-11-15
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2020-02-25	2020-03-24
	Rep	Dealing in futures contracts	2020-02-25	2020-03-24
	Rep	Dealing in securities	2020-02-25	2020-03-24
Changjiang Futures (HK) Limited	Rep	Dealing in futures contracts	2017-04-19	2017-05-31
Changjiang Securities Brokerage (HK) Limited	Rep	Dealing in securities	2017-04-19	2017-05-31
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2016-09-08	2017-03-24
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2016-09-08	2017-03-24
Seazen Resources Asset Management Limited	Rep	Asset management	2016-05-13	2016-08-26
Seazen Resources Futures Limited	Rep	Dealing in futures contracts	2016-05-13	2016-08-26
Seazen Resources Securities Limited	Rep	Dealing in securities	2016-05-13	2016-08-26
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-10-02	2016-03-23
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-10-02	2016-03-23
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-12-17	2015-05-14
	Rep	Dealing in securities	2014-12-17	2015-05-14
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2011-09-12	2012-06-22
	Rep	Dealing in securities	2011-09-12	2012-06-22
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2011-06-01	2011-09-01
BOCI SECURITIES LIMITED	Rep	Advising on securities	2011-01-10	2011-01-17
	Rep	Dealing in futures contracts	2011-01-10	2011-01-17
	Rep	Dealing in securities	2011-01-10	2011-01-17
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2004-01-02	2007-06-23