Personnel Hong Kong SFC License Details (ID 71826)

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
RD InnoVest Limited	RO	Advising on securities	2026-04-08	-
	RO	Dealing in securities	2026-04-08	-
North Beta International Securities Limited	Rep	Asset management	2023-11-22	2025-07-25
	RO	Advising on securities	2021-06-04	2025-07-25
	RO	Dealing in securities	2021-06-04	2025-07-25
DA INTERNATIONAL FINANCIAL SERVICE LIMITED	RO	Dealing in futures contracts	2020-01-14	2021-04-16
	RO	Dealing in securities	2020-01-14	2021-04-16
	Rep	Dealing in futures contracts	2019-12-11	2020-01-14
	Rep	Dealing in securities	2019-12-11	2020-01-14
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2019-01-07	2019-10-08
South China Investment Management Limited	Rep	Asset management	2017-12-11	2019-10-08
SOUTH CHINA COMMODITIES LIMITED	RO	Dealing in futures contracts	2017-10-24	2019-10-08
	Rep	Dealing in futures contracts	2016-05-17	2017-10-24
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2016-05-17	2019-01-07
TIAN YUAN FINANCE LIMITED	Rep	Dealing in securities	2016-01-12	2016-04-07
R.J. O'BRIEN &AMP; ASSOCIATES HK LIMITED	Rep	Dealing in futures contracts	2012-05-15	2015-12-31
DA INTERNATIONAL FINANCIAL SERVICE LIMITED	Rep	Dealing in futures contracts	2012-03-23	2012-04-21
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-07-21	2012-01-31
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2011-07-21	2012-01-31
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-12-23	2011-05-31
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-12-23	2011-05-31
SDIC Securities International Financial Holdings Limited	Rep	Dealing in securities	2010-12-23	2011-05-31
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2010-01-11	2010-12-10
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2010-01-11	2010-12-10
EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2009-07-24	2009-11-11
WING FUNG FUTURES LIMITED	Rep	Dealing in futures contracts	2008-06-11	2008-12-05
WING FUNG SECURITIES LIMITED	Rep	Dealing in securities	2008-06-11	2008-12-05