Personnel Hong Kong SFC License Details (ID 73787)

Personnel Hong Kong SFC License Details (ID 73787)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2022-10-17	-
	Rep	Dealing in securities	2022-10-17	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2021-09-14	2022-10-14
	Rep	Dealing in securities	2021-09-14	2022-10-14
Quam Securities Limited	Rep	Advising on securities	2021-07-19	2021-09-05
	Rep	Asset management	2021-07-19	2021-09-05
	Rep	Dealing in securities	2021-07-19	2021-09-05
Haitong Futures Hong Kong Limited	RO	Advising on futures contracts	2019-11-13	2021-06-01
	RO	Dealing in futures contracts	2019-11-13	2021-06-01
	Rep	Dealing in futures contracts	2017-07-13	2019-11-13
iBest Investment Services Limited	Rep	Leveraged foreign exchange trading	2017-06-08	2017-06-30
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2015-05-08	2017-06-30
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2015-03-12	2017-06-30
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2015-03-12	2017-06-30
CHINA XIN YONGAN FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-07-26	2015-03-02