Personnel SFC Licences and HKMA Registrations (ID 77089)

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
CORPORATE BROKERS LIMITED	Rep	Dealing in securities	2003-06-10	-
CORPORATE COMMODITIES LIMITED	Rep	Dealing in futures contracts	2003-06-10	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-05-07
	Rep	Asset management	2003-04-01	2003-05-07
	Rep	Dealing in futures contracts	2003-04-01	2003-05-09
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-07
	Rep	Advising on securities	2003-04-01	2003-05-07
	Rep	Asset management	2003-04-01	2003-05-07
	Rep	Providing automated trading services	2003-04-01	2003-05-09
	Rep	Dealing in securities	2003-04-01	2003-05-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.