Personnel SFC Licences and HKMA Registrations (ID 73614)

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
FINE SECURITIES LIMITED	RO	Advising on securities	2023-03-31	-
	RO	Asset management	2023-03-31	-
	RO	Dealing in securities	2023-03-31	-
Shuang Ji (Hong Kong) Securities Limited	RO	Advising on securities	2021-08-05	2023-02-01
	RO	Asset management	2021-08-05	2023-02-01
Huafu International Asset Management Limited	RO	Asset management	2021-01-25	2021-08-02
Huafu International Securities Limited	RO	Advising on securities	2021-01-25	2021-08-02
	RO	Dealing in securities	2021-01-25	2021-08-02
Shuang Ji (Hong Kong) Securities Limited	RO	Asset management	2019-09-26	2020-11-30
	RO	Dealing in securities	2019-02-18	2020-07-02
	RO	Advising on securities	2019-02-18	2020-11-30
Pacific International Securities Limited	RO	Advising on securities	2017-10-06	2019-02-11
	RO	Asset management	2017-10-06	2019-02-11
	RO	Dealing in securities	2016-11-07	2019-02-11
Grand China Securities Limited	RO	Dealing in securities	2015-06-25	2016-10-28
	Rep	Dealing in securities	2015-05-13	2015-06-25
Changjiang Futures (HK) Limited	Rep	Dealing in futures contracts	2013-02-07	2015-03-17
Changjiang Securities Brokerage (HK) Limited	Rep	Advising on securities	2012-04-11	2015-03-17
	Rep	Dealing in securities	2012-02-27	2015-03-17
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2011-07-14	2012-01-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2011-07-14	2012-01-07
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-01-21	2011-05-31
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-11-16	2011-05-31
SDIC Securities International Financial Holdings Limited	Rep	Dealing in securities	2010-04-21	2011-05-31
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2009-12-28	2010-02-24
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-12-28	2010-02-24
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2008-07-09	2009-04-10
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-07-23	2009-04-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-07-23	2009-04-10

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.