Personnel Hong Kong SFC License Details (ID 73654)

Personnel Hong Kong SFC License Details (ID 73654)

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
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2022-07-14	-
	Rep	Advising on securities	2020-03-11	-
	Rep	Dealing in securities	2020-03-11	-
Yunfeng Financial Markets Limited	Rep	Advising on securities	2018-11-21	2019-12-13
Yunfeng Securities Limited	Rep	Advising on securities	2018-11-21	2019-12-13
Yunfeng Financial Markets Limited	RO	Dealing in securities	2016-12-05	2019-12-13
Yunfeng Securities Limited	RO	Dealing in securities	2016-12-05	2019-12-13
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2016-03-11	2016-09-30
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2010-03-10	2016-09-30
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2009-09-04	2016-03-11