Personnel Hong Kong SFC License Details (ID 76822)

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
Zhong Wang Capital Partners Limited	RO	Advising on securities	2024-05-30	-
	RO	Asset management	2024-05-30	-
MOUETTE SECURITIES COMPANY LIMITED	RO	Advising on securities	2022-09-23	2024-03-08
	RO	Asset management	2022-09-23	2024-03-08
	RO	Dealing in securities	2022-09-23	2024-03-08
	Rep	Advising on securities	2022-08-03	2022-09-23
	Rep	Asset management	2022-08-03	2022-09-23
	Rep	Dealing in securities	2022-08-03	2022-09-23
Glory Sun Securities Limited	RO	Advising on securities	2017-04-10	2022-06-17
	RO	Asset management	2017-04-10	2022-06-17
	RO	Dealing in futures contracts	2016-05-31	2022-06-17
	RO	Dealing in securities	2016-05-31	2022-06-17
	Rep	Dealing in futures contracts	2016-05-11	2016-05-31
	Rep	Dealing in securities	2016-05-11	2016-05-31
	Rep	Asset management	2016-05-11	2017-04-10
CASH Wealth Management Limited	Rep	Asset management	2015-01-27	2016-04-30
CELESTIAL COMMODITIES LIMITED	RO	Dealing in futures contracts	2014-10-24	2016-04-30
CELESTIAL SECURITIES LIMITED	RO	Dealing in securities	2014-10-24	2016-04-30
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2014-09-19	2014-10-24
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2014-09-19	2014-10-24
Nerico Brothers Limited (HK)	RO	Dealing in futures contracts	2012-12-14	2014-03-17
	RO	Dealing in securities	2012-12-14	2014-03-17
	Rep	Dealing in futures contracts	2012-11-07	2012-12-14
	Rep	Dealing in securities	2012-11-07	2012-12-14
	Rep	Leveraged foreign exchange trading	2012-11-07	2014-03-17
Glory Sun Securities Limited	RO	Dealing in futures contracts	2012-09-18	2012-10-10
	RO	Dealing in securities	2012-07-26	2012-10-10
	Rep	Dealing in securities	2011-11-25	2012-07-26
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Dealing in futures contracts	2011-03-08	2011-11-19
	Rep	Dealing in securities	2011-03-08	2011-11-19
CELESTIAL SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2010-02-08	2011-03-01
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2009-10-06	2011-03-01
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2009-10-06	2011-03-01
ENLIGHTEN FUTURES LIMITED	Rep	Dealing in futures contracts	2009-03-25	2009-09-21
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2009-03-25	2009-09-21
CASH ASSET MANAGEMENT LIMITED	Rep	Asset management	2007-04-10	2009-03-13
CELESTIAL SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2005-10-25	2009-03-13
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2005-08-05	2009-03-13
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2005-08-05	2009-03-13