Personnel Hong Kong SFC License Details (ID 73635)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2026-08-25	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2026-08-25	-
	Rep	Dealing in securities	2026-08-25	-
GF FUTURES (HONG KONG) CO., LIMITED	Rep	Dealing in futures contracts	2013-04-16	2026-05-15
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2013-04-16	2026-05-15
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2006-07-27	2010-07-27
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2006-01-10	2013-04-09
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2006-01-10	2013-04-09
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-12-13	2005-12-30
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-12-13	2005-12-30
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-23	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-03-23	2004-12-11
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2003-06-16	2004-03-16
CLSA LIMITED	Rep	Dealing in securities	2003-06-16	2004-03-16
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-14
	Rep	Advising on securities	2003-04-01	2003-05-14
	Rep	Asset management	2003-04-01	2003-05-14
	Rep	Providing automated trading services	2003-04-01	2003-05-14
	Rep	Dealing in securities	2003-04-01	2003-05-14
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-05-14
	Rep	Asset management	2003-04-01	2003-05-14
	Rep	Dealing in futures contracts	2003-04-01	2003-05-14
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-14
	Rep	Advising on securities	2003-04-01	2003-05-14
	Rep	Asset management	2003-04-01	2003-05-14
	Rep	Providing automated trading services	2003-04-01	2003-05-14
	Rep	Dealing in securities	2003-04-01	2003-05-14