Personnel Hong Kong SFC License Details (ID 72398)

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
PLUTUS ASSET MANAGEMENT LIMITED (GBEN)	RO	Advising on securities	2021-05-05	-
	RO	Asset management	2021-05-05	-
Plutus Securities Limited	RO	Dealing in securities	2021-05-05	-
	Rep	Dealing in securities	2021-03-08	2021-05-05
GF FUTURES (HONG KONG) CO., LIMITED	Rep	Dealing in futures contracts	2013-03-11	2020-12-30
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2013-03-11	2020-12-30
KGI ASIA LIMITED	Rep	Dealing in securities	2012-12-19	2013-03-05
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-12-19	2013-03-05
Channel 8 Wealth Management Limited	Rep	Advising on securities	2012-09-24	2012-11-08
	Rep	Dealing in securities	2012-09-24	2012-11-08
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2011-03-31	2012-03-31
	Rep	Dealing in securities	2011-03-31	2012-03-31
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-08-19	2011-03-01
MF Securities Hong Kong Limited	Rep	Advising on securities	2009-11-17	2010-07-12
	Rep	Dealing in securities	2009-11-04	2010-07-12
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2009-05-07	2009-10-29
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2009-04-27	2009-10-29
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2009-03-13	2009-04-17
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2009-03-03	2009-04-17
INSTINET PACIFIC LIMITED	Rep	Providing automated trading services	2007-12-10	2009-01-22
	Rep	Advising on securities	2007-12-05	2009-01-22
	Rep	Dealing in securities	2007-12-05	2009-01-22
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2006-08-28	2007-11-23
	Rep	Dealing in securities	2006-08-04	2007-11-23
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2005-10-25	2006-02-25
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-10-25	2006-02-25
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-10-25	2006-02-25
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-10-25	2006-02-25