Personnel Hong Kong SFC License Details (ID 77711)

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	2016-12-09	2019-01-01
	RO	Dealing in futures contracts	2016-12-09	2019-01-01
	RO	Dealing in securities	2016-12-09	2019-01-01
	Rep	Advising on securities	2016-10-25	2016-12-09
	Rep	Dealing in futures contracts	2016-10-25	2016-12-09
	Rep	Dealing in securities	2016-10-25	2016-12-09
MIB FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2014-06-25	2016-08-13
MIB SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2014-06-25	2016-08-13
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-03-25	2014-06-25
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-03-25	2014-06-25
	Rep	Advising on securities	2014-03-25	2016-08-13
CSC SECURITIES (HK) LIMITED	RO	Advising on securities	2011-03-01	2014-02-21
CSC FINANCIAL SERVICES LIMITED (d2015-11-19)	RO	Dealing in securities	2010-10-21	2013-07-03
CSC FUTURES (HK) LIMITED	RO	Dealing in futures contracts	2008-10-03	2014-02-21
CSC SECURITIES (HK) LIMITED	RO	Dealing in futures contracts	2008-10-03	2014-02-21
	RO	Dealing in securities	2008-10-03	2014-02-21
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2008-08-27	2008-10-03
CSC SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2008-08-27	2008-10-03
	Rep	Dealing in securities	2008-08-27	2008-10-03
HUA NAN SECURITIES (HK) LIMITED	RO	Dealing in futures contracts	2008-04-08	2008-08-15
	RO	Dealing in securities	2007-03-21	2008-08-15
	Rep	Dealing in securities	2007-03-12	2007-03-21
MEGA CAPITAL (ASIA) COMPANY LIMITED	RO	Dealing in securities	2005-03-09	2007-01-04
Beevest Securities Limited	RO	Dealing in futures contracts	2005-03-07	2007-01-04
	RO	Advising on securities	2004-08-03	2007-01-04
	RO	Dealing in securities	2003-04-24	2007-01-04
	Rep	Advising on corporate finance	-	2003-04-22
	Rep	Advising on securities	-	2003-04-22
	Rep	Asset management	-	2003-04-22
	Rep	Dealing in securities	-	2003-04-24