Personnel SFC Licences and HKMA Registrations (ID 73254)

Key Data Licences & registrations 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
MIB SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2023-10-20	-
	Rep	Advising on securities	2022-08-08	-
	Rep	Dealing in securities	2022-08-08	2023-10-20
Everbright Securities Investment Services (HK) Limited	RO	Dealing in securities	2021-06-18	2022-07-31
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on securities	2018-03-26	2022-07-31
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2018-03-26	2022-07-31
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Dealing in securities	2017-11-30	2022-07-31
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2017-10-25	2022-07-31
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2017-10-25	2021-06-18
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-08-28	2022-07-31
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-05-18	2017-11-30
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2010-02-11	2011-02-24
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2007-11-21	2010-02-06
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2007-11-09	2007-11-15
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2007-11-09	2007-11-15
KGI ASIA LIMITED	Rep	Dealing in securities	2007-08-17	2007-10-29
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-08-17	2007-10-29
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-08-17	2007-10-29
VC BROKERAGE LIMITED	Rep	Dealing in securities	2007-06-15	2007-08-07
VC FUTURES LIMITED	Rep	Dealing in futures contracts	2007-06-15	2007-08-07
XinKong International Securities Limited	Rep	Dealing in futures contracts	2005-04-15	2007-05-28
	Rep	Dealing in securities	2005-04-15	2007-05-28
KAISER FUTURES LIMITED	Rep	Dealing in futures contracts	2003-11-12	2005-04-14
KAISER SECURITIES LIMITED	Rep	Dealing in securities	2003-11-12	2005-04-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.