Personnel Hong Kong SFC License Details (ID 76894)

Personnel Hong Kong SFC License Details (ID 76894)

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
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2021-03-12	-
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2020-09-14	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2020-09-14	2021-03-12
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2019-02-28	2020-08-31
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2014-02-26	2020-08-31
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-02-26	2019-02-28
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-03-12	2014-02-16
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-03-12	2014-02-16
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2011-09-08	2011-12-21
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2011-09-08	2011-12-21
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2011-09-08	2011-12-21
Emperor Wealth Management Limited	Rep	Dealing in securities	2010-05-05	2011-09-05
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2010-02-03	2011-09-05
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2010-02-03	2011-09-05