Personnel Hong Kong SFC License Details (ID 73004)

Personnel Hong Kong SFC License Details (ID 73004)

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
uSmart Securities Limited	Rep	Dealing in futures contracts	2026-05-07	-
	Rep	Advising on securities	2025-10-20	-
	Rep	Dealing in securities	2025-10-20	-
	Rep	Asset management	2023-04-27	-
	RO	Advising on securities	2023-04-27	2025-10-20
	RO	Dealing in securities	2023-04-27	2025-10-20
	Rep	Advising on securities	2019-10-29	2023-04-27
	Rep	Dealing in securities	2019-10-29	2023-04-27
CHIEF SECURITIES LIMITED	Rep	Advising on securities	2016-05-04	2017-11-09
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2008-10-28	2017-11-09
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2007-08-15	2017-11-09