Personnel Hong Kong SFC License Details (ID 72835)

Personnel Hong Kong SFC License Details (ID 72835)

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
StoneX Financial (HK) Limited	RO	Dealing in securities	2023-03-24	-
	RO	Dealing in futures contracts	2015-07-10	-
	Rep	Dealing in futures contracts	2015-05-06	2015-07-10
TFI Asset Management Limited	Rep	Asset management	2014-07-24	2015-04-01
	RO	Advising on futures contracts	2014-03-10	2015-04-01
Rifa Securities Limited	RO	Dealing in securities	2013-05-14	2015-04-01
TFI Asset Management Limited	RO	Advising on securities	2013-05-14	2015-04-01
Rifa Futures Limited	RO	Dealing in futures contracts	2012-11-15	2015-04-01
	Rep	Dealing in futures contracts	2012-10-16	2012-11-15
Rifa Securities Limited	Rep	Dealing in securities	2012-10-16	2013-05-14
TFI Asset Management Limited	Rep	Advising on securities	2012-10-16	2013-05-14
Soochow Securities International Futures Limited	RO	Advising on futures contracts	2012-08-27	2012-09-20
	RO	Dealing in futures contracts	2012-08-27	2012-09-20
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2012-08-21	2012-09-20
CES Capital International (Hong Kong) Co., Limited	RO	Advising on futures contracts	2010-08-10	2012-07-20
	RO	Dealing in futures contracts	2010-08-10	2012-07-20
	Rep	Leveraged foreign exchange trading	2009-11-19	2012-07-20
	Rep	Dealing in securities	2009-03-13	2012-07-20
	Rep	Dealing in futures contracts	2008-10-08	2010-08-10