Personnel Hong Kong SFC License Details (ID 74966)

Personnel Hong Kong SFC License Details (ID 74966)

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
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2025-07-21	-
	RO	Dealing in securities	2017-08-22	-
	Rep	Asset management	2016-01-22	-
	Rep	Dealing in securities	2016-01-22	2017-08-22
Rich Union Securities (H.K.) Limited	Rep	Asset management	2014-08-18	2016-01-15
	Rep	Dealing in securities	2014-08-18	2016-01-15
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2012-05-14	2014-05-10
Oppenheimer Investments Asia Limited	Rep	Dealing in securities	2011-10-27	2012-03-30
ORION INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2010-06-29	2011-09-20
	Rep	Dealing in securities	2010-06-29	2011-09-20
MUSHK Limited	Rep	Advising on securities	2008-10-02	2010-06-01
	Rep	Dealing in securities	2008-10-02	2010-06-01
Rich Union Securities (H.K.) Limited	Rep	Advising on securities	2007-05-30	2008-09-08
	Rep	Dealing in securities	2007-05-30	2008-09-08