Personnel Hong Kong SFC License Details (ID 74174)

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
HARRIS FRASER (INTERNATIONAL) LIMITED	RO	Advising on securities	2026-03-02	-
	RO	Asset management	2026-03-02	-
	RO	Dealing in securities	2026-03-02	-
MASON INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2026-03-02	-
	RO	Asset management	2026-03-02	-
	RO	Dealing in securities	2026-03-02	-
Mason Securities Limited	RO	Advising on securities	2026-03-02	-
	RO	Asset management	2026-03-02	-
	RO	Dealing in securities	2026-03-02	-
JMC Capital HK Limited	RO	Asset management	2023-09-13	2025-05-14
	RO	Advising on securities	2023-07-19	2025-05-14
	RO	Dealing in securities	2023-07-19	2025-05-14
JMC Capital International Limited	RO	Advising on futures contracts	2023-07-19	2025-05-14
	RO	Advising on securities	2023-07-19	2025-05-14
	RO	Dealing in futures contracts	2023-07-19	2025-05-14
	RO	Dealing in securities	2023-07-19	2025-05-14
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on futures contracts	2020-05-22	2023-06-04
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2020-01-15	2023-06-04
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on securities	2020-01-15	2023-06-04
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2020-01-15	2023-06-04
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2019-11-14	2020-01-15
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2019-11-14	2020-01-15
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2019-11-14	2020-01-15
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2017-09-22	2019-06-21
CITIC Securities International Global Markets Limited	RO	Dealing in securities	2017-05-23	2017-12-06
	RO	Dealing in futures contracts	2017-05-23	2018-06-25
CITIC Securities Asset Management (HK) Limited	RO	Dealing in securities	2014-10-17	2018-06-29
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2011-06-27	2019-06-21
	Rep	Dealing in futures contracts	2010-03-22	2011-06-27
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2009-02-05	2019-06-21
	Rep	Dealing in securities	2008-12-17	2009-02-05
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	RO	Dealing in securities	2007-02-27	2008-07-18
	Rep	Dealing in securities	2003-06-02	2007-02-27