Personnel Hong Kong SFC License Details (ID 73143)

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
BOCHK Asset Management Limited	Rep	Asset management	2021-12-14	2026-08-01
	Rep	Advising on securities	2021-12-01	2026-08-01
	Rep	Dealing in securities	2021-12-01	2026-08-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-03-26	2021-11-19
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2021-03-09	2021-11-19
	Rep	Dealing in securities	2021-03-09	2021-11-19
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2020-07-02	2021-02-16
	Rep	Advising on securities	2020-07-02	2021-02-16
	Rep	Asset management	2020-07-02	2021-02-16
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2020-07-02	2020-12-09
	Rep	Advising on securities	2020-07-02	2020-12-09
	Rep	Asset management	2020-07-02	2020-12-09
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2020-07-02	2021-02-16
	Rep	Asset management	2020-07-02	2021-02-16
	Rep	Dealing in securities	2020-06-24	2021-02-16
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-09-02	2020-06-17
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2013-09-02	2020-01-23
	Rep	Dealing in securities	2013-09-02	2020-06-17
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2012-01-27	2012-12-26
	RO	Dealing in futures contracts	2011-08-22	2012-12-26
	Rep	Dealing in futures contracts	2011-06-03	2011-08-22
CHINA INTERNATIONAL FUTURES (HONG KONG) COMPANY LIMITED	RO	Dealing in futures contracts	2011-03-01	2011-05-13
	Rep	Dealing in futures contracts	2010-12-03	2011-03-01
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2010-10-20	2010-12-01
CHINA INTERNATIONAL FUTURES (HONG KONG) COMPANY LIMITED	Rep	Dealing in futures contracts	2008-01-10	2010-10-07