Personnel SFC Licences and HKMA Registrations (ID 77746)

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	Rep	Dealing in futures contracts	2016-08-29	-
	Rep	Advising on securities	2014-10-13	-
	Rep	Dealing in securities	2014-10-13	-
PREFERRED LEGACY CAPITAL LIMITED	Rep	Advising on securities	2012-08-02	2014-09-30
	Rep	Dealing in securities	2012-08-02	2014-09-30
CSC SECURITIES (HK) LIMITED	Rep	Advising on securities	2009-08-14	2012-07-06
	Rep	Dealing in securities	2008-05-27	2012-07-06
	RO	Dealing in securities	2007-10-09	2008-05-27
	Rep	Dealing in securities	2007-04-02	2007-10-09

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.