Personnel Hong Kong SFC License Details (ID 74191)

Personnel Hong Kong SFC License Details (ID 74191)

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
I WIN SECURITIES LIMITED	RO	Dealing in securities	2022-03-11	-
I Win Asset Management Limited	Rep	Advising on securities	2022-03-04	-
I WIN SECURITIES LIMITED	Rep	Dealing in securities	2020-12-08	2022-03-11
CMBC International Securities Limited	Rep	Advising on securities	2018-12-03	2020-07-28
	Rep	Dealing in securities	2018-12-03	2020-07-28
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2018-01-03	2020-07-28
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-01-03	2020-07-28
	Rep	Dealing in securities	2018-01-03	2020-07-28
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2013-05-15	2017-07-27
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2011-07-27	2017-07-27
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2011-03-11	2011-06-21