Personnel SFC Licences and HKMA Registrations (ID 71877)

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
Public Financial Securities Limited	Rep	Dealing in securities	2023-12-06	-
Holly International Financial Holdings Limited	Rep	Dealing in futures contracts	2021-12-30	2023-07-04
	RO	Dealing in securities	2021-12-30	2023-07-04
China On Securities Limited	RO	Dealing in securities	2021-04-21	2021-06-25
	Rep	Dealing in securities	2021-04-15	2021-04-21
	Rep	Asset management	2021-04-15	2021-06-25
BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2018-06-20	2021-04-13
	RO	Advising on securities	2017-11-21	2021-04-13
	RO	Dealing in futures contracts	2017-11-21	2021-04-13
	RO	Dealing in securities	2017-11-21	2021-04-13
	Rep	Dealing in futures contracts	2017-07-27	2017-11-21
	Rep	Dealing in securities	2017-07-27	2017-11-21
Vantage New Generation Securities Limited	RO	Advising on securities	2016-10-17	2017-07-02
	RO	Dealing in securities	2016-10-17	2017-07-02
	Rep	Advising on securities	2016-09-12	2016-10-17
	Rep	Dealing in securities	2016-09-12	2016-10-17
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2016-01-04	2016-06-14
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2015-05-06	2015-12-21
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-01-12	2015-03-25
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-01-12	2015-03-25
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-04-10	2014-10-31
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2013-04-10	2014-10-31
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2010-01-22	2012-11-15
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2010-01-06	2012-11-15
HOU TAK SECURITIES LIMITED	Rep	Dealing in securities	2009-08-04	2009-10-16
CHONG HING COMMODITIES AND FUTURES LIMITED	Rep	Dealing in futures contracts	2008-08-14	2009-07-25
CHONG HING SECURITIES LIMITED	Rep	Dealing in securities	2007-07-10	2009-07-25

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.