Personnel Hong Kong SFC License Details (ID 73893)

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
FULBRIGHT FUTURES LIMITED	Rep	Dealing in futures contracts	2025-02-24	-
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2025-02-12	-
uSmart Securities Limited	Rep	Dealing in securities	2024-07-02	2024-12-17
China Securities (International) Brokerage Company Limited	Rep	Dealing in futures contracts	2023-08-07	2024-05-03
	Rep	Dealing in securities	2023-08-07	2024-05-03
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2021-12-29	2023-05-23
	Rep	Dealing in securities	2021-12-29	2023-05-23
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2021-09-27	2021-12-17
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2021-09-27	2021-12-17
	Rep	Dealing in securities	2021-09-27	2021-12-17
GRAND FU INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2021-04-12	2021-09-08
Hang Tai Asset Management Limited	Rep	Advising on securities	2021-04-12	2021-09-08
GRAND FU INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2021-03-29	2021-09-08
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	Dealing in securities	2020-11-24	2021-01-04
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2019-10-04	2020-10-30
CMB International Securities Limited	Rep	Dealing in securities	2019-10-04	2020-10-30
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on futures contracts	2019-06-11	2019-09-13
	Rep	Dealing in futures contracts	2019-06-11	2019-09-13
	Rep	Dealing in securities	2019-06-11	2019-09-13
BOCOM International Securities Limited	Rep	Advising on futures contracts	2017-01-23	2019-05-27
	Rep	Dealing in futures contracts	2016-05-26	2019-05-27
	Rep	Dealing in securities	2016-05-26	2019-05-27
Guotai Junan FX Limited	Rep	Leveraged foreign exchange trading	2013-11-05	2016-05-15
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-08-08	2016-05-15
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-08-08	2016-05-15
CHONG HING COMMODITIES AND FUTURES LIMITED	Rep	Dealing in futures contracts	2012-04-02	2013-08-01
CHONG HING SECURITIES LIMITED	Rep	Dealing in securities	2011-04-12	2013-08-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2010-07-21	2010-07-21
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-07-21	2010-07-21