Personnel Hong Kong SFC License Details (ID 71789)

Personnel Hong Kong SFC License Details (ID 71789)

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.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2018-12-28	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2018-10-10	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2018-10-10	2018-12-28
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2017-06-12	2018-10-01
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2013-11-13	2018-10-01
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-11-13	2017-06-12
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-05-25	2013-11-07
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2011-05-25	2013-11-07