Personnel Hong Kong SFC License Details (ID 72868)

Personnel Hong Kong SFC License Details (ID 72868)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2025-10-23	-
	Rep	Dealing in futures contracts	2025-10-23	-
	Rep	Dealing in securities	2025-10-23	-
CHARLES SCHWAB, HONG KONG, LIMITED	RO	Advising on securities	2015-12-15	2016-11-14
	RO	Dealing in securities	2015-12-15	2016-11-14
	Rep	Advising on securities	2009-06-29	2015-12-15
	Rep	Dealing in securities	2009-06-29	2015-12-15
	Rep	Advising on futures contracts	2009-06-29	2016-08-31
CAIIS Limited	Rep	Dealing in securities	2006-07-12	2008-11-13
	Rep	Advising on securities	2006-05-08	2008-11-13
NEW TREND FUTURES LIMITED	Rep	Advising on futures contracts	2004-01-20	2004-10-25
	Rep	Dealing in futures contracts	2004-01-09	2005-03-24
REFCO FOREX LIMITED	Rep	Leveraged foreign exchange trading	2003-11-08	2003-12-30
ADMIS Hong Kong Limited	Rep	Dealing in futures contracts	2003-04-30	2003-12-30
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-04-22
	Rep	Asset management	2003-04-01	2003-04-22
	Rep	Dealing in futures contracts	2003-04-01	2003-04-22