Personnel Hong Kong SFC License Details (ID 74960)

Personnel Hong Kong SFC License Details (ID 74960)

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
Digital Climate Securities HK Limited	RO	Advising on securities	2024-12-23	-
	RO	Dealing in securities	2024-12-23	-
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	Dealing in futures contracts	2021-06-16	2024-11-22
	RO	Dealing in securities	2021-06-16	2024-11-22
	RO	Asset management	2013-09-02	2024-11-22
	RO	Advising on futures contracts	2012-06-21	2024-11-22
	RO	Advising on securities	2012-06-21	2024-11-22
	Rep	Dealing in futures contracts	2012-03-06	2021-06-16
	Rep	Dealing in securities	2012-03-06	2021-06-16
CNCB (Hong Kong) Capital Limited	RO	Advising on futures contracts	2005-01-18	2011-01-14
	RO	Advising on securities	2005-01-18	2011-01-14
	RO	Asset management	2005-01-18	2011-01-14
AIM Y.K. HUI INVESTMENT CONSULTANTS LIMITED	RO	Advising on corporate finance	2003-04-01	2004-11-03
	RO	Advising on futures contracts	2003-04-01	2012-02-29
	RO	Advising on securities	2003-04-01	2012-02-29
	RO	Asset management	2003-04-01	2012-02-29