Personnel Hong Kong SFC License Details (ID 75023)

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
Oyin Asset Management (Hong Kong) Limited	RO	Advising on securities	2025-12-05	-
	RO	Asset management	2025-12-05	-
Yunrui Asset Management Limited	RO	Advising on securities	2022-02-09	2025-09-04
	RO	Asset management	2022-02-09	2025-09-04
Yunrui Securities Limited	RO	Dealing in securities	2022-02-09	2025-09-04
313 CAPITAL MANAGEMENT LIMITED 313	RO	Advising on securities	2020-07-28	2020-09-17
	RO	Asset management	2020-07-28	2020-09-17
EXCELLENT TIDE SECURITIES LIMITED	RO	Dealing in securities	2020-07-28	2020-09-17
South China Futures Investment Limited	RO	Dealing in futures contracts	2020-07-28	2020-09-17
Tongfang Securities Limited	RO	Advising on securities	2019-04-01	2020-05-04
	RO	Dealing in securities	2019-04-01	2020-05-04
	Rep	Asset management	2019-01-29	2020-05-04
	Rep	Advising on securities	2018-11-23	2019-04-01
	Rep	Dealing in securities	2018-11-23	2019-04-01
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on securities	2016-10-17	2018-08-17
	RO	Dealing in futures contracts	2016-10-17	2018-08-17
	RO	Dealing in securities	2016-10-17	2018-08-17
	Rep	Advising on securities	2016-04-21	2016-10-17
	Rep	Dealing in futures contracts	2016-04-21	2016-10-17
	Rep	Dealing in securities	2016-04-21	2016-10-17
QUANTSMILE (HK) LIMITED	Rep	Asset management	2015-08-19	2016-04-09
T G SECURITIES LIMITED	RO	Dealing in futures contracts	2015-08-19	2016-04-09
	RO	Dealing in securities	2015-08-19	2016-04-09
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	RO	Advising on futures contracts	2011-04-26	2013-10-11
	RO	Dealing in futures contracts	2011-04-26	2013-10-11
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2010-08-06	2010-10-16
	RO	Dealing in futures contracts	2010-05-31	2010-10-16
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Dealing in securities	2010-05-31	2010-10-16
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-04-07	2010-05-31
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2008-04-07	2010-05-31