Personnel Hong Kong SFC License Details (ID 72105)

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
Core Capital Securities Limited	RO	Dealing in securities	2018-06-20	2018-12-28
	Rep	Dealing in securities	2018-02-15	2018-06-20
Changjiang Asset Management (HK) Limited	Rep	Asset management	2016-02-23	2017-10-19
Changjiang Securities Brokerage (HK) Limited	RO	Advising on securities	2015-07-24	2017-10-19
	RO	Dealing in securities	2015-07-24	2017-10-19
Changjiang Futures (HK) Limited	Rep	Dealing in futures contracts	2015-07-16	2017-10-19
Changjiang Securities Brokerage (HK) Limited	Rep	Advising on securities	2015-07-16	2015-07-24
	Rep	Dealing in securities	2015-07-16	2015-07-24
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2013-08-01	2015-04-01
	RO	Dealing in securities	2013-08-01	2015-04-01
ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2013-03-04	2015-04-01
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-03-04	2015-04-01
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-03-04	2013-08-01
CASH ASSET MANAGEMENT LIMITED	Rep	Asset management	2010-07-06	2013-01-24
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2010-07-06	2013-01-24
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2010-07-06	2013-01-24
Quam Securities Limited	Rep	Asset management	2010-03-04	2010-05-27
	Rep	Advising on securities	2009-10-19	2010-05-27
	Rep	Dealing in futures contracts	2008-01-24	2010-05-27
	Rep	Dealing in securities	2008-01-24	2010-05-27
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2005-08-16	2005-10-20
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-08-16	2005-10-20
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-10-08	2005-05-20
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-10-08	2005-05-17
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2004-08-18	2004-09-25
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2004-08-18	2004-09-25