Personnel Hong Kong SFC License Details (ID 73659)

Personnel Hong Kong SFC License Details (ID 73659)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2022-02-21	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2021-10-26	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2021-10-26	-
	Rep	Dealing in securities	2021-10-26	2022-02-21
GF Securities (Hong Kong) Brokerage Limited	RO	Dealing in securities	2018-03-07	2020-04-06
	Rep	Dealing in securities	2017-12-19	2018-03-07
	Rep	Advising on securities	2017-12-19	2020-04-06
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2015-06-26	2017-10-20
	Rep	Advising on securities	2013-03-19	2017-10-20
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2009-01-15	2017-10-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2008-10-16	2015-06-26
KGI ASIA LIMITED	Rep	Dealing in securities	2007-07-10	2008-09-29
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2007-06-14	2007-06-30
ICBC (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2004-05-17	2007-05-27
CHONG HING SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-04-30
	Rep	Advising on securities	2003-04-01	2003-04-30
	Rep	Asset management	2003-04-01	2003-04-30
	Rep	Providing automated trading services	2003-04-01	2003-04-30
	Rep	Dealing in securities	2003-04-01	2003-04-30