Personnel SFC Licences and HKMA Registrations (ID 71767)

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
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Advising on securities	2023-12-04	-
uSmart Securities Limited	RO	Advising on securities	2020-01-24	2022-07-01
	RO	Dealing in securities	2020-01-24	2022-07-01
	Rep	Advising on securities	2019-10-11	2020-01-24
	Rep	Dealing in securities	2019-10-11	2020-01-24
	Rep	Asset management	2019-10-11	2022-07-01
313 CAPITAL MANAGEMENT LIMITED 313	RO	Advising on securities	2019-04-26	2019-05-31
EXCELLENT TIDE SECURITIES LIMITED	RO	Dealing in securities	2019-04-26	2019-05-31
South China Futures Investment Limited	RO	Dealing in futures contracts	2019-04-26	2019-05-31
313 CAPITAL MANAGEMENT LIMITED 313	Rep	Advising on securities	2019-03-07	2019-04-26
	Rep	Asset management	2019-03-07	2019-05-31
EXCELLENT TIDE SECURITIES LIMITED	Rep	Dealing in securities	2019-03-07	2019-04-26
South China Futures Investment Limited	Rep	Dealing in futures contracts	2019-03-07	2019-04-26
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Advising on futures contracts	2018-08-28	2019-02-15
Bright Smart Asset Management Limited	Rep	Asset management	2018-04-23	2019-02-15
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2017-03-10	2019-02-15
	Rep	Advising on securities	2010-01-18	2017-03-10
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2008-07-02	2019-02-15
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-07-02	2019-02-15
Rakuten Securities Hong Kong Limited	Rep	Leveraged foreign exchange trading	2007-05-18	2007-08-07
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2006-11-03	2007-01-05

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AI9953

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
東亞銀行有限公司	Dealing in securities	Non-EO	SENIOR INVESTMENT STRATEGIST	2022-07-27	—	Current
東亞銀行有限公司	Advising on securities	Non-EO	SENIOR INVESTMENT STRATEGIST	2022-07-27	—	Current