Personnel Hong Kong SFC License Details (ID 72100)

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
CMBC ASSET MANAGEMENT COMPANY LIMITED	RO	Advising on securities	2025-05-20	-
	RO	Asset management	2025-05-20	-
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2025-05-20	-
CMBC SECURITIES COMPANY LIMITED	RO	Advising on securities	2025-05-20	-
	RO	Dealing in securities	2025-05-20	-
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2025-03-06	2025-05-20
	Rep	Asset management	2025-03-06	2025-05-20
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2025-03-06	2025-05-20
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2025-03-06	2025-05-20
	Rep	Dealing in securities	2025-03-06	2025-05-20
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	RO	Advising on securities	2015-04-14	2025-01-15
CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2013-06-03	2025-01-15
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2012-07-13	2025-01-15
CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2012-04-27	2025-01-15
	RO	Asset management	2012-04-27	2025-01-15
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	RO	Dealing in securities	2012-01-06	2025-01-15
CASH Wealth Management Limited	RO	Asset management	2011-11-08	2011-12-06
	RO	Advising on securities	2011-09-09	2011-12-06
	RO	Dealing in securities	2011-05-11	2011-12-06
CASH ASSET MANAGEMENT LIMITED	Rep	Asset management	2008-10-27	2011-12-06
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2007-11-19	2011-12-06
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2007-11-19	2011-12-06
I-ACCESS INVESTORS LIMITED	Rep	Dealing in futures contracts	2006-01-19	2007-10-15
	RO	Dealing in securities	2005-12-19	2007-10-15
CELESTIAL SECURITIES LIMITED	Rep	Providing automated trading services	2003-10-22	2004-02-19
	Rep	Dealing in securities	2003-10-22	2005-11-30
CELESTIAL FINANCE LIMITED	Rep	Securities margin financing	2003-04-01	2004-01-09