Personnel SFC Licences and HKMA Registrations (ID 71734)

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
Boom Securities (H.K.) Limited	Rep	Dealing in futures contracts	2017-12-14	-
	RO	Providing automated trading services	2005-05-11	-
	RO	Dealing in securities	2005-05-11	-
Win Securities Limited	RO	Providing automated trading services	2005-05-11	2024-10-03
	RO	Dealing in securities	2005-05-11	2024-10-03
Boom Securities (H.K.) Limited	Rep	Advising on corporate finance	2003-04-01	2003-12-16
	Rep	Advising on securities	2003-04-01	2003-12-16
	Rep	Asset management	2003-04-01	2003-12-16
	Rep	Providing automated trading services	2003-04-01	2005-05-11
	Rep	Dealing in securities	2003-04-01	2005-05-11

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.